Broker-dealer firm · Palm Beach Gardens, FL
GWN Securities Inc.
SEC-registered investment adviser · CRD 128929 · SEC 801-62547
At a glance
GWN Securities Inc. is an SEC-registered investment adviser based in Palm Beach Gardens, Florida, with $4.8 billion in regulatory assets under management as of its Form ADV filed April 13, 2026. Its largest client group by assets is individuals, and it reports 37,763 individual clients. By Form ADV it is a broker-dealer firm, ranked 92nd of 391 broker-dealer firms and 2,177th of 17,210 SEC-registered advisers by assets.
Main office 561-472-2700gwnsecurities.comAs filed on Form ADV
- Regulatory AUM
- $4.8B
- Rank among broker-dealer firms
- #92 of 391
- Rank among all SEC RIAs
- #2,177 of 17,210
- Rank in Florida
- #89 of 1,090
- Individual clients
- 37,763
- High-net-worth clients
- 2,217
- Accounts
- 66,025
- Discretionary
- 100% of AUM
- Employees
- 707
- Advisory staff
- 448
- Offices
- 26
Owners and executives on its Form ADV
- Denis Stephen WalshCeo/exec Director/ Municipal Principal, President
- Mary Therese WalshSecretary
- Laura Jeanette BornheimerVice President/chief Compliance Officer/rosfp
- Brad Jeffrey CorbinSenior Vice President of Business Development and Marketing
- Barry Richard RittmanCFO Finop VP
Custody and brokerage
Broker-dealer
Hybrid RIA
GWN Securities Inc. is a hybrid RIA: 671 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Abacus Investments, Inc. and Money Concepts Capital Corp.
- Abacus Investments, Inc. ↗CRD 35127
An introducing broker-dealer: its trades clear through Hilltop Securities, which holds the brokerage accounts. Its annual audited report filed with the SEC, January 2026
- Money Concepts Capital Corp ↗CRD 12963
Its Form ADV brochure (filed April 2026) names GWN Securities as the broker-dealer its advisers are registered with.
of our firm are licensed insurance agents, and are registered representatives with GWN Securities, a securities broker-dealer, and a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 35,546 | $3.9B | 82% |
| High-net-worth individuals | 2,217 | $850M | 18% |
| Corporations or other businesses | 30 | $17M | <1% |
Disciplinary disclosures
GWN Securities Inc. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Market timing
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗gwnsecurities.com ↗
AtlasMembers
The full record on GWN Securities Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 88 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does GWN Securities Inc. manage?
GWN Securities Inc. reports $4.8 billion in regulatory assets under management across 66,025 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 13, 2026.
What kind of firm is GWN Securities Inc.?
GWN Securities Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are GWN Securities Inc.’s clients?
By assets, its largest client types are individuals ($3.9 billion, 35,546 clients); high-net-worth individuals ($850 million, 2,217 clients); corporations or other businesses ($17 million, 30 clients).
Does GWN Securities Inc. have any disciplinary history?
GWN Securities Inc. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is GWN Securities Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-13), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →