SA
Stephen Arthur
GWN SECURITIES
Bluffton, SC 29910
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CRD#: 6569529
SA
Professional summary
Stephen Arthur is a registered financial advisor currently at GWN SECURITIES INC. located in Bluffton, South Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Stephen has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
(1)NAME: GIUSEPPI'S PIZZA & PASTA INV REL: N ADDR: 50 SHELTER COVE LN HILTON HEAD SC 29928 NATURE: RESTAURANT/BAR WORK POSITION: DELIVERY DRIVER START: 07/15/2015 NO HRS: 70 NO HRS DUR TRADING: 0. (2) Name: Harbor Light Insurance and Wealth Advisors LLC: 97A Towne Dr, Bluffton SC 29910 Investment related yes : Nature/Position : Life Insurance agent 01/28/2020 No hrs 20 Hrs during trading 10 LIBRARIES FOR KIDS INTERNATIONAL INVESTMENT RELATED: Is Not Investment Related, ADDRESS: "P.O. Box 1013,Bluffton, SC, 29910, United States", NATURE: Non-Profit Donation of Books to African Countries, POSITION: Board Member, START DATE: 8/21/2025, 3 hours per month, 3 hours per month during trading hours, No Compensation DESCRIPTION: Great awareness to counties in West Africa and negotiate for delivery of books.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Arthur's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Arthur'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 13, 2020 - Present
GWN SECURITIES INC.
Office #1: 97a Towne Dr, Bluffton, SC 29910RIA
BD
CRD#: 128929
Bluffton, SC
Current
February 13, 2020 - Present
GWN SECURITIES INC.
Office #1: 97a Towne Dr, Bluffton, SC 29910RIA
BD
CRD#: 128929
Bluffton, SC
Past
August 12, 2019 - December 23, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAVANNAH, GA
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
Georgia(3/13/2020)
RR
Maryland(9/20/2021)
RR
New York(5/9/2023)
RR
South Carolina(3/13/2020)
IAR
South Carolina(3/13/2020)
RR
Texas(4/28/2025)
RR
Virginia(3/13/2020)
RR
West Virginia(11/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/12/2019
General Securities Representative ExaminationGeneral 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.
