WC
Wayne M. Cook
GWN SECURITIES
AMSTERDAM, NY
Some features on this profile are disabled
CRD#: 6385619
WC
Professional summary
Wayne Martin Cook II, who also goes by Wayne M Cook II, Wayne M Cook, Wayne Martin Cook Ii, Wayne Martin Cook, is a registered financial advisor currently at GWN SECURITIES INC. located in Amsterdam, New York.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Wayne has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wayne M Cook Ii | Wayne M Cook | Wayne Martin Cook Ii | Wayne Martin Cook
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.
V. Mathis Insurance Services and Risk Advisors, LLC. POSITION: Insurance Agent NATURE: Property and Casualty Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 18 Computer Dr. W. Ste 103 Albany NY 12205 United States DESCRIPTION: I have always incorporated in my fact finders to inquire about individuals assets and different insurance coverages as part of holistic financial planning. I would typically work with my client to shop around and see if another, for example, auto policy without a reduction of benefit would be cheaper. As I plan to add my PnC license with V. Mathis Insurance Services and Risk Advisors, LLC., I will be able to easily work with agent's their to complete and service this side of business. LIFE & HEALTH POSITION: Insurance Agent NATURE: LAH and annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2014 ADDRESS: 4698 Consaul Rd Amsterdam NY 12010 United States DESCRIPTION: As part of my financial practice, I will intend on becoming appointed with different carriers or finding an IMO to continue appropriate insurance recommendations Rental Real Estate Income: POSITION: Home Owner/Landlord NATURE: Rented Bedrooms Upstairs INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 4698 Consaul Rd Amsterdam NY 12010 United States DESCRIPTION: Personal residence single family home of mine has with 5 bedrooms. Several friends plan on renting the upstairs bedrooms come January 2023. CLEAR SUMMIT WEALTH MANAGAMENT Is Not Investment Related, Doing Business As, Doing Business As Name, 2023-01-03, 160 hours per month, 130 hours per month during trading hours, Other Compensation, this is the DBA being utilized with my financial practice through GWN Securities. CONTENT CREATOR Is Not Investment Related, "4698 Consaul Rd, Amsterdam, NY, 12010, United States", Audio/Video, Creator, 5/29/2024, 64 hours per month, 0 hours per month during trading hours, Other Compensation, Non-securities content creator outside of trading hours. Subscription and ad revenue form content.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Martin Cook II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wayne Martin Cook II'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
January 3, 2023 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
AMSTERDAM, NY
Current
January 3, 2023 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
August 23, 2019 - December 9, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CLIFTON PARK, NY
Past
January 23, 2019 - December 9, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CLIFTON PARK, NY
Past
May 19, 2016 - January 4, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ALBANY, NY
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
California(1/3/2023)
RR
Colorado(1/3/2023)
RR
Connecticut(1/3/2023)
RR
Florida(1/3/2023)
RR
Hawaii(1/10/2023)
RR
Illinois(3/20/2023)
RR
Maryland(6/4/2025)
RR
Massachusetts(1/3/2023)
RR
New Jersey(1/3/2023)
RR
New Mexico(1/3/2023)
RR
New York(1/3/2023)
IAR
New York(1/3/2023)
RR
Pennsylvania(1/3/2023)
RR
Rhode Island(1/3/2023)
RR
Texas(1/3/2023)
RR
Washington(12/12/2024)
RR
Wisconsin(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/23/2019
General Securities Representative ExaminationGeneral 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.
