KW
Keefer M. Whaley
GWN SECURITIES
GREENWOOD VILLAGE, CO 80111
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CRD#: 7820313
KW
Professional summary
Keefer Mark Howard Whaley is a registered financial advisor currently at GWN SECURITIES INC. located in Greenwood Village, Colorado.
Keefer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Keefer 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.
EVEREST MICROBIAL DEFENSE, LLC POSITION: Independent Contractor NATURE: Direct to Consumer Product Sales COMPENSATION TYPE: Other. INVESTMENT RELATED: No. NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 9/1/2022 ADDRESS: 1925 W. Harvard Ave., Unit B Englewood CO 80110, United States DESCRIPTION: Contract work as needed. Work includes Inventory Management and product fulfillment. "Other" Compensation : Hourly ---- INSURACE POSITION: Agent. NATURE: Life Insurance. COMPENSATION TYPE: Commission. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/10/2023 ADDRESS: 6901 South Yosemite Street, Suite 105 Centennial CO 80112, United States DESCRIPTION: Provide Life and Health insurance services to clients. ASPENMARK WEALTH MANAGEMENT POSITION: Registered Representative. NATURE: DBA/Financial Services. COMPENSATION TYPE: Commission. INVESTMENT RELATED: Yes. NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 10/22/2023 ADDRESS: 6901 South Yosemite Street, Suite 105 Centennial CO 80112, United States DESCRIPTION: Helping clients with planning their financial future and retirement through selling securities products.
CRS (Client Relationship Summary) - RIA
Click below to view Keefer Mark Howard Whaley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keefer Mark Howard Whaley'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
August 21, 2024 - Present
GWN SECURITIES INC.
Office #1: 5655 South Yosemite Street # 208, Greenwood Village, CO 80111RIA
BD
CRD#: 128929
GREENWOOD VILLAGE, CO
Current
December 4, 2023 - Present
GWN SECURITIES INC.
Office #1: 5655 South Yosemite Street # 208, Greenwood Village, CO 80111RIA
BD
CRD#: 128929
GREENWOOD VILLAGE, CO
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
Colorado(12/4/2023)
IAR
Colorado(8/21/2024)
RR
Maine(7/3/2025)
RR
Maryland(10/17/2025)
RR
Vermont(1/23/2025)
RR
Wisconsin(11/10/2025)
RR
Wyoming(8/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/2/2023
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.
