EK
Eric R. Kessler
GWN SECURITIES
Henderson, NV 89074
Some features on this profile are disabled
CRD#: 7331348
EK
Professional summary
Eric Richard Kessler, who also goes by Eric Kessler, is a registered financial advisor currently at GWN SECURITIES INC. located in Henderson, Nevada.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Eric has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Kessler
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.
KESSLER AND SONS MUSIC,Is Not Investment Related,"9550 S Eastern Ave #120, , Henderson, NV, 89074, USA",administrator helping people sign up for 401k,Unknown,2022-10-19,1 hours per month,0 hours per month during trading hours,Other Compensation,I help people with the paperwork if they want to sign up for the 401k. Deal with administrative duties between the company and adp. I do not advice people on investments at all or provide any financial or securities advice. PROUD MOMENTS ABA POSITION: Behavior Analyst NATURE: Applied behavior analysistreatment for children with autism. INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 8 START DATE: 10/14/2020 ADDRESS: 1775 Village Center Cir Suite 190, Las Vegas NV 89134, United States DESCRIPTION: I am a behavior analyst who supervises and directs programs for children with autism. INSURANCE POSITION: producer NATURE: Helping sign people up with insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 05/25/2021 ADDRESS: 132 outcrop ridge avenue, henderson NV 89002, United States DESCRIPTION: Helping clients purchase life insurance, health insurance and annuity products. FINANCIAL PARTNERS LV, Is Investment Related, my financial business name, owner, 2022-03-01, 10 hours per month, 5 hours per month during trading hours, Commission Compensation, This is my DBA for my business name. All commissions come through by personal checking and not my business account. HOPE FINANCIAL SOLUTIONS, Is Investment Related, DBA, Financial Professional 02/08/2021,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. ERIC KESSLER, LLC, Is Investment Related, Investment Advisor, Owner, 2022-03-01, 10 hours per month, 5 hours per month during trading hours, Fee Based Compensation, My DBA is Financial Partners LV, this is the actual LLC name. RESTORE TO TRIVE PLLC NOT INVESTMENT RELATED; 1 HOUR PER MONTH AND 0 DURING TRADING HOURS; BUSINESS NATURE: HEALTH CARE; ADDRESS: 132 OUTCROP RIDGE AVENUE, HENDERSON NV 89002; NO COMPENSATION; START: 01/01/2024; BUSINESS DUTY DISCRIPTION: Help wife my minimal housekeeping duties related to her business. Do not get paid.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Richard Kessler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Richard Kessler'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
April 28, 2022 - Present
GWN SECURITIES INC.
Office #1: 2470 Saint Rose Parkway Suite 102, Henderson, NV 89074RIA
BD
CRD#: 128929
Henderson, NV
Current
February 8, 2021 - Present
GWN SECURITIES INC.
Office #1: 2470 Saint Rose Parkway Suite 102, Henderson, NV 89074RIA
BD
CRD#: 128929
Henderson, NV
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(6/4/2021)
RR
Georgia(9/14/2021)
RR
Iowa(9/11/2023)
RR
Maryland(5/16/2025)
RR
Nevada(2/8/2021)
IAR
Nevada(4/28/2022)
RR
Ohio(5/16/2023)
RR
Oregon(6/4/2021)
RR
Utah(5/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/8/2021
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.
