# GWN SECURITIES INC.

GWN SECURITIES INC. of PALM BEACH GARDENS, FL is an SEC-registered investment adviser.

## Registration

- CRD: 128929
- Type: SEC-registered investment adviser
- SEC file number: 801-62547
- Location: 11440 NORTH JOG ROAD, PALM BEACH GARDENS, FL, 33418-3764
- Phone: 561-472-2700
- Latest filing: 2026-04-13
- Regulatory AUM: $4.8B
- Discretionary AUM: $4.8B
- Clients: 707
- Accounts: 66,025

## Business model

- Compensation: % of AUM, Hourly, Fixed, Other
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (14)

| Name | Role | Location |
| --- | --- | --- |
| Monteiro John | VP/TREASURER; VP/TREASURER/FINOP; VP/TREASURER/FINOP/CFO | Frisco, TX |
| Denis Stephen Walsh | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | — |
| Mary Therese Walsh | SECRETARY | — |
| Barry Richard Rittman | CFO FINOP VP | — |
| Laura Jeanette Bornheimer | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | — |
| Brad Jeffrey Corbin | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | — |
| WALSH STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT; PRESIDENT/DIRECTOR/ MUNICIPAL PRINCIPAL | — |
| WALSH JOHN PATRICK | DIRECTOR; OWNER | — |
| WALSH MARY THERESE | SECRETARY; SECRETARY/CCO/CROP/SROP; SECRETARY/CROP/SROP | — |
| RITTMAN BARRY RICHARD | CFO; CFO FINOP VP | — |
| SUTTMAN CHRISTOPHER PAUL | GENERAL SECURITIES PRINCIPAL | — |
| COGNETTI LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/CROP/SROP; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | — |
| CORBIN BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | — |
| BORNHEIMER LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2018-02-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS WITH ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS (UITS) RESULTING IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES… | Final | $100K |
| 2016-08-12 | regulatory | N/A | Final | $20K |


## Branch offices (25)

_Showing 15 of 25 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| PASADENA | CA | 31 | 626-476-1286 |
| BRIDGEWATER | NJ | 21 | 732-475-0300 |
| HAUPPAUGE | NY | 15 | 631-232-7900 |
| WAYNE | PA | 12 | 610-971-1080 |
| KANSAS CITY | MO | 8 | 816-460-0430 |
| TORRANCE | CA | 7 | 424-337-1869 |
| OWASSO | OK | 6 | 918-266-2787 |
| BORDENTOWN | NJ | 5 | 484-888-8069 |
| MESQUITE | TX | 5 | 972-288-3700 |
| BARDSTOWN | KY | 5 | 866-566-0460 |
| NORWALK | CT | 5 | (203) 847-5300 |
| GREENWOOD VILLAGE | CO | 4 | 303-285-5373 |
| BELLPORT | NY | 3 | 631-238-5454 |
| CHESTER | NJ | 3 | 908-888-2878 |
| HENDERSON | NV | 3 | 702-902-2551 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/128929/brochure
- Similar advisers: https://search.stillhousedata.com/firm/128929/similar
- Related entities: https://search.stillhousedata.com/firm/128929/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/128929

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.