BM
Brian T. Mccaffrey
GWN SECURITIES
KATY, TX 77494
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CRD#: 6209154
BM
Professional summary
Brian Taylor Mccaffrey is a registered financial advisor currently at GWN SECURITIES INC. located in Katy, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brian 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.
Texas Dept. of Insurance General Lines Agent # 1842517Life, Accident, Health and HMO. MCCAFFREY WEALTH MANAGEMENT, LLC INVESTMENT RELATED: Is Investment Related, ADDRESS: 24285 Katy Freeway, # 300-76, Katy, TX, 77494, United States", NATURE: Investment Advice, Financial Planning, Annuities, & Life Insurance", POSITION: Financial Advisor, START DATE: 11/15/2020, HOURS PER MONTH: 160 hours per month, SECURITIES TRADING HOURS: 0 hours per month during trading hours, DESCRIPTON: Investment advice & financial planning services are negotiated for a flat fee or % AUM fee. When appropriate, I can help clients understand & shop annuity & life insurance options, as well as help them apply for a policy based on their preferences and needs. Annuity & life insurance are generally commission based compensation. All fees & commissions are fully disclosed prior to entering service agreements.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Taylor Mccaffrey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Taylor Mccaffrey'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
November 9, 2020 - Present
GWN SECURITIES INC.
Office #1: 2717 Commercial Center Blvd. Suite E204, Katy, TX 77494RIA
BD
CRD#: 128929
KATY, TX
Current
November 9, 2020 - Present
GWN SECURITIES INC.
Office #1: 2717 Commercial Center Blvd. Suite E204, Katy, TX 77494RIA
BD
CRD#: 128929
KATY, TX
Past
August 27, 2020 - November 4, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOUSTON, TX
Past
August 20, 2013 - November 4, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOUSTON, TX
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
Arkansas(1/10/2025)
RR
California(8/18/2023)
RR
Tennessee(10/30/2024)
RR
Texas(11/9/2020)
IAR
Texas(11/9/2020)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GWN SECURITIES INC.
CRD#: 128929Katy, TX 77494TRUST BUT VERIFY
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