LD
Luke A. Dalton
GWN SECURITIES
Owasso, OK 74055
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CRD#: 6493480
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Professional summary
Luke Arlen Dalton, CFP® is a registered financial advisor currently at GWN SECURITIES INC. located in Owasso, Oklahoma.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Luke has worked at 1 firm and has passed the Series 66, SIE and Series 7TO 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.
LUKE A. DALTON, LLC. INVESTMENT RELATED: NATURE: DIRECT SALES OF INSURANCE PRODUCTS; POSITION: AGENT; 5 HOURS PER MONTH AND 5 DURING SECURITIES TRADING HOURS; START DATE: 01/02/2019 ADDRESS: 20122 Carefree Dr., Claremore OK 74019, United States; COMPENSATION TYPE: COMMISSTIONS; DESCRIPTION: I AM LIFE INSURANCE AGENT, HAVE BEEN FOR APPROX. 7 YEARS.. FOCUS FINANCIAL, Is Investment Related, DBA, Financial Professional 10/26/2018,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. FOCUS REAL ESTATE, LLC Is Not Investment Related, Business Real Property, Partner, 2021-03-01, 0 hours per month, 0 hours per month during trading hours, No Compensation Compensation, This is the LLC formed to own and manage our business property. HOPE HARBOR Is Not Investment Related, Non-Profit Children's Home, Board Member, 2023-10-18, 1 hours per month, 0 hours per month during trading hours, No Compensation Compensation, "I have been asked to join the Foundation Board of Hope Harbor, a non-profit children's home that I have volunteered for in the past. The board's function is to create a layer of supervision between the children's home and its general fund and scholarship fund." KIBO GROUP Is Not Investment Related, "PO Box 145, , Searcy, AR, 72145, United States", Nonprofit, Board of Trustees Member, 11/10/2025, 2 hours per month, 0 hours per month during trading hours, No Compensation Compensation DESCRIPTION: Being voted in next weekend - non-compensated role as board of trustees member for an international nonprofit. Duties involve guidance and oversight of program initiatives and an annual meeting.
CRS (Client Relationship Summary) - RIA
Click below to view Luke Arlen Dalton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Luke Arlen Dalton'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®
Experience
Current
December 14, 2018 - Present
GWN SECURITIES INC.
Office #1: 14501 E. 89th St. N., Owasso, OK 74055RIA
BD
CRD#: 128929
Owasso, OK
Current
October 31, 2018 - Present
GWN SECURITIES INC.
Office #1: 14501 E. 89th St. N., Owasso, OK 74055RIA
BD
CRD#: 128929
Owasso, OK
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(12/15/2020)
RR
California(4/21/2020)
RR
Colorado(6/7/2022)
RR
Georgia(1/7/2021)
RR
Kansas(1/4/2021)
RR
Massachusetts(11/6/2025)
RR
Missouri(3/3/2023)
RR
New Mexico(6/1/2022)
RR
North Carolina(12/15/2020)
RR
Oklahoma(12/13/2018)
IAR
Oklahoma(12/14/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2018
General Securities Representative ExaminationSRO 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.
Company Information
GWN SECURITIES INC.
CRD#: 128929Owasso, OK 74055TRUST BUT VERIFY
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