Individual Firm
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MICHAEL GALVIN MERRICK
CRD#: 4879674
IA
B
GWN SECURITIES INC.CRD#: 128929 NATICK, MA
0
Disclosures
16
Years of Experience
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State Registrations
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Connecticut 1/3/2020
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New Hampshire 2/16/2017
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Massachusetts 8/21/2015
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Rhode Island 8/21/2015
IA
Massachusetts 3/15/2016
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2013 - 08/25/2015 | WELLESLEY, MA | |
B | 01/10/2013 - 08/25/2015 | WELLESLEY, MA | |
B | 09/21/2009 - 09/02/2011 | SAN FRANCISCO, CA | |
B | 12/18/2006 - 10/22/2007 | AUSTIN, TX | |
B | 04/22/2005 - 10/02/2006 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.