Ceo/exec Director/ Municipal Principal, President · GWN Securities Inc.
Denis Stephen Walsh
CRD 1124278 · Named on Form ADV at 3 SEC-registered advisers
At a glance
GWN Securities Inc., an SEC-registered broker-dealer firm based in Palm Beach Gardens, FL with $4.8 billion in regulatory assets, lists Denis Stephen Walsh on its Form ADV as Ceo/exec Director/ Municipal Principal, President, a control person. The SEC filings also name Denis at 2 other registered advisers.
Firms and roles
- GWN Securities Inc.Ceo/exec Director/ Municipal Principal, PresidentBroker-dealer firm · Palm Beach Gardens, FL · $4.8B in regulatory assets
- Money Concepts Advisory ServicePresident | Chief Executive OfficerBroker-dealer firm · Palm Beach Gardens, FL · $4.1B in regulatory assets
- WIN Advisors, IncDirector and PresidentWealth manager · Palm Beach Gardens, FL · $267M in regulatory assets
AtlasMembers
Denis’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 3 firmsLocked
- Control-person status
- 3 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 1995 (31 years)
- Designations
- Certified Financial Planner
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Denis’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (7)
- Mary Therese WalshSecretary, GWN Securities Inc.
- Laura Jeanette BornheimerVice President/chief Compliance Officer/rosfp, GWN Securities Inc.
- Brad Jeffrey CorbinSenior Vice President of Business Development and Marketing, GWN Securities Inc.
- Barry Richard RittmanCFO Finop VP, GWN Securities Inc.
- Cheryl Morris BarnettVice President | Compliance Officer, Money Concepts Advisory Service
2 more people named with Denis on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Denis’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.