WebMar 24, 2024 · Goodman & Nekvasil P.A., May Recover Investor Losses – Cristen Young Queenan (Cristen Queenan) a/k/a Cristen Nicole Housenick, Cristen Housenick and Cristen Nicole Young, Fired by GWFS Equities, Inc. From 2009 until Cristen Queenan’s firing in 2014, Cristen Queenan was licensed with GWFS Equities, Inc. According to FINRA’s … WebSecurities Exchange Act of 1934 and Rule 17a-5Thereunder REPORT FORTHE PERIOD BEGINNING ONUM AND ENDING 12/31/18 MM/DD/YY MM/DD/YY A.REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: GWFS Equities, InC. OFFICIAL USEONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.0,Box No.) …
Empower Retirement
Web3210 governing personal securities transactions for or by associated persons. To the extent not addressed herein, GWFS is supportive of the proposed rule. We recognize the objective of the proposed rules and appreciate FINRA’s efforts to promote more effective oversight of the personal trading of associated persons of member firms. set custom refresh rate windows 11
Financial Goals
WebJun 30, 2024 · On May 12, 2024, the SEC settled with GWFS Equities, Inc., a registered broker-dealer, for charges of federal securities law violations relating to Suspicious Activity Report (“SAR”) filings. WebSecurities, when presented, are offered and/or distributed by GWFS Equities, Inc., Member FINRA/SIPC. GWFS is an affiliate of Empower Retirement, LLC; Great-West Funds, Inc.; and registered investment adviser, Advised Assets Group, LLC. This material is for informational purposes only and is not intended to provide investment, legal or tax ... WebCore securities, when offered, are offered through GWFS Equities, Inc. and/or other broker dealers. Securities available through Empower Brokerage are offered by GWFS Equities, Inc., a wholly owned subsidiary of Great-West Life & Annuity Insurance Company, member FINRA/SIPC.Clearing, settlement, custody, and other brokerage services are provided … set custom background in teams