JC
James S. Cavanaugh
GWN SECURITIES
Rockville Centre, NY 11570
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CRD#: 6545854
JC
Professional summary
James Sarsfield Cavanaugh is a registered financial advisor currently at GWN SECURITIES INC. located in Rockville Centre, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 1 firm and has passed the Series 63, SIE and Series 6 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.
HEALTH STRATEGIES, LLC NON-INVESTMENT RELATED 1216 WASHINGTON STREET CANTON, MA 02021 HEALTH INSURANCE CONSULTING MANAGING MEMBER START DATE: 07/01/2013 15 HOURS A MONTH AND 0 HOURS DURING SECURITIES TRADING HOURS MY DUTIES ARE TO ASSIST SMALL BUSINESS OWNERS WITH HEALTH INSURANCE DECISIONS. LIFE AND DISABILITY INSURANCE POSITION: Independent Agent NATURE: Individual life and disability insurance protection INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2016 ADDRESS: 1300 Veterans Memorial Highway, Suite 210, Hauppauge NY 11788 DESCRIPTION: Duties related to this activity are recommending life or disability insurance when the need is prevelant, quoting and presenting insurance proposals to prospect, assisting prospect with completing necessary applications, following the case through underwriting and delivering the policy. ABMM FINANCIAL, Is Investment Related, DBA, Financial Professional, 2015-08-25,160 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 James Sarsfield Cavanaugh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Sarsfield Cavanaugh'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
March 31, 2021 - Present
GWN SECURITIES INC.
Office #1: 60 North Park Ave. Suite 208, Rockville Centre, NY 11570RIA
BD
CRD#: 128929
Rockville Centre, NY
Current
September 1, 2015 - Present
GWN SECURITIES INC.
Office #1: 60 North Park Ave. Suite 208, Rockville Centre, NY 11570RIA
BD
CRD#: 128929
Rockville Centre, 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
Connecticut(5/18/2017)
RR
Delaware(9/17/2025)
RR
Massachusetts(5/18/2017)
RR
New Hampshire(5/7/2025)
RR
New Jersey(9/1/2015)
RR
New York(9/14/2015)
IAR
New York(3/31/2021)
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.
