Robert James Thomas
Professional Summary
Robert James Thomas, who also goes by Robert J. Thomas, is a registered financial advisor currently at GWN SECURITIES INC. located in Cerritos, California. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Robert has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert J. Thomas
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Years of Experience
14 years in the financial services industry
Current & Past Employments
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Current Firm
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
Contact Information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Phone Number
(561) 472-2700Established
Florida since 05/12/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
707SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | — |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| NEITZEL, CARL ALEXANDER | COO | 3044454 |
| RITTMAN, BARRY RICHARD | CFO FINOP PFO VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory Assets Under Management
Total Number of Accounts
66,025AUM (Assets Under Management)
$4,753,625,856Disclosures
Regulatory Event
2Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
Primary Firm SEC Registration
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
State Registrations and Notice Filings
(2/2/2021)
(7/19/2016)
(7/19/2016)
(7/19/2016)
(10/10/2016)
(9/27/2017)
(7/17/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert James Thomas's CRS (Customer Relationship Summary).
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
RS CRUM INC.
MORGAN STANLEY
LPL FINANCIAL LLC
