RT
Robert J. Thomas
GWN SECURITIES
Cerritos, CA 90703
Some features on this profile are disabled
CRD#: 6040456
RT
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert J. Thomas
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.
FIXED LIFE, FIXED INSURANCE, HEALTH INSURANCE, LTC POSITION: independent agent NATURE: placing fixed annuities and insurance for clients whom are suitable for such products aimed for guaranteed benefits. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2016 ADDRESS: 1240 Rosecrans Ave, Suite 120, Manhattan Beach CA 90266, United States DESCRIPTION: When a client expresses a desire for safety of principle or a want for guaranteed benefits of a product, the use of fixed annuities and insurance is explored as an alternative to variable solutions for the client. PACIFIC WAY WEALTH MANAGEMENT POSITION: Financial Representative INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 hours per month SECURITIES TRADING HOURS: 5 hours per month during trading hours, START DATE: 2023-02-01 COMPENSATION: Other Compensation. ADDRESS: 20707 Anza Ave #155, Torrance, CA 90503 DESCRIPTION: Help clients establish new accounts and consolidate older accounts. Ongoing customer relations through reviews and service. Compensation is a combination of advisory fees and commissions.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 19, 2016 - Present
GWN SECURITIES INC.
Office #1: 18000 Studebaker Rd, Cerritos, CA 90703RIA
BD
CRD#: 128929
Cerritos, CA
Current
July 19, 2016 - Present
GWN SECURITIES INC.
Office #1: 18000 Studebaker Rd, Cerritos, CA 90703RIA
BD
CRD#: 128929
Cerritos, CA
Past
September 18, 2012 - July 22, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WOODLAND HILLS, CA
Past
May 9, 2012 - July 22, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WOODLAND HILLS, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/2/2021)
RR
California(7/19/2016)
IAR
California(7/19/2016)
RR
Michigan(7/19/2016)
RR
Nevada(10/10/2016)
RR
Pennsylvania(9/27/2017)
RR
Texas(7/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
744
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
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 |
| RITTMAN, BARRY RICHARD | CFO FINOP 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 | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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.
