Articles Tagged with GWN Securities

William Paterson

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Florida-based GWN Securities broker/adviser William Paterson has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Paterson (CRD# 3132630).

William Paterson has spent 17 years in the securities industry and was most recently registered with GWN Securities in Palm Beach Gardens, Florida (2017). Previous registrations include Advanced Advisor Group in Willmar, Minnesota (2006-2016); Great American Advisors in Cincinnati, Ohio (2005-2006); US Bancorp Investments in Saint Paul, Minnesota (2003-2004); Safeco Investment Services in Boston, Massachusetts (2001-2003); Great American Advisors in Cincinnati, Ohio (1999-2001); and Princor Financial Services Corporation in Des Moines, Iowa (1998-1999).He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 17, 1998, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 19, 1998. He is currently not registered with any state or firm.

According to his BrokerCheck report, William Paterson has been sanctioned by FINRA, was recently discharged from his former employer, and resigned from another former employ in connection to alleged rule violations.