CS
Conor W. Swanson
GWN SECURITIES
Palm Harbor, FL
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CRD#: 6172589
CS
Professional summary
Conor Wesman Swanson is a registered financial advisor currently at GWN SECURITIES INC. located in Palm Harbor, Florida.
Conor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Conor has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ROYALTIES AGREEMENT POSITION: Finder NATURE: This is entirely a side project. It is not something my friend was comfortable with dicussing or did not know how to go about setting one up. I had put the company in touch with an entity that specializes in these transactions. I knew of this person through someone I used to swim with at the University of Texas. The business is an individual transaction of setting up a joint venture between two companies. It is not an ongoing business, separate company or a different position. For my help in faciliating the agreement, they wanted to include me in the royalties agreement. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2015 ADDRESS: 563 Bay St, Palm Harbor FL 34683 DESCRIPTION: I was assiting a friend of mine who is not my client. As part of my assistance I have helped faciliate a joint venture agreement for his company. The joint venture will pay myself and my friend's company for a percentage of the natural resources harvested and sold by the joint venture company. After I have the agreement set up it will not require additional work on my behalf. I might have to relay information to the joint venture partner but that is the extent of my working activity. FIXED INSURANCE AND ANNUITIES POSITION: Insurance Agent NATURE: I will be applying for life insurance and annuity products for people who need them. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 07/21/2016 ADDRESS: 65 Madison Ave, Suite 200, Morristown NJ 07960 DESCRIPTION: I would be applying for insurance and annuities for people that need insurance. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2015-05-06,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.
CRS (Client Relationship Summary) - RIA
Click below to view Conor Wesman Swanson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Conor Wesman Swanson'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
May 19, 2015 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Palm Harbor, FL
Current
May 5, 2015 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
Palm Harbor, FL
Past
March 10, 2015 - April 29, 2015
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
TAMPA, FL
Past
August 22, 2013 - April 29, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
TAMPA, FL
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
Alabama(8/24/2018)
RR
Colorado(8/16/2018)
RR
Florida(5/5/2015)
IAR
Florida(5/19/2015)
RR
Kansas(2/17/2022)
RR
South Carolina(1/2/2023)
RR
Texas(5/5/2015)
Exams
State Security Law Exam
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.
