JG
James Gates
GWN SECURITIES
Melbourne, FL 32901
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CRD#: 7140335
JG
Professional summary
James Gates is a registered financial advisor currently at GWN SECURITIES INC. located in Melbourne, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. James has worked at 1 firm and has passed the Series 63, Series 65, Series 6TO 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.
Florida licensed life, index, and fixed annuity independent agent, having helped individuals with their life insurance and fixed investment needs. LIFE INSURANCE AND FIXED INVESTMENTS POSITION: Independent Agent NATURE: Life insurance and fixed annuity sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/14/2019 ADDRESS: 6175 NW 153rd Street, Suite 226, Miami Lakes FL 33014, United States DESCRIPTION: Soliciting the sale of life insurance and fixed annuity products to prospective individuals. TEACHERS RETIREMENT RESOURCES, Is Investment Related, DBA, Financial Professional, 06/14/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. FLORIDA RETIREMENT RESOURCES, Is Investment Related, DBA, Financial Professional, 06/14/2019,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. SUNSHINE RETIREMENT RESOURCES Is Investment Related, "1220 Prospect Ave Unit 288, Melbourne, FL, 32901, United States", Tax and business management entity for personal compensation purposes, President, 1/1/2020, 20 hours per month, 5 hours per month during trading hours, No Compensation Compensation, Administrative entity for personal income and tax management. No outside business conducted.
CRS (Client Relationship Summary) - RIA
Click below to view James Gates's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Gates'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
September 18, 2020 - Present
GWN SECURITIES INC.
Office #1: 1220 Prospect Avenue Unit 288, Melbourne, FL 32901Office #2: 6175 Nw 153rd Street Suite 226, Miami Lakes, FL 33014RIA
BD
CRD#: 128929
Melbourne, FL
Current
January 24, 2020 - Present
GWN SECURITIES INC.
Office #1: 1220 Prospect Avenue Unit 288, Melbourne, FL 32901Office #2: 6175 Nw 153rd Street Suite 226, Miami Lakes, FL 33014RIA
BD
CRD#: 128929
Melbourne, FL
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
Florida(1/24/2020)
IAR
Florida(9/18/2020)
RR
Georgia(4/22/2024)
RR
Missouri(6/16/2025)
RR
Nevada(6/22/2023)
RR
Tennessee(7/28/2025)
RR
Virginia(11/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/24/2020
Investment Company Products/Variable Contracts 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
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.
