AW Securities

Broker-DealerFINRA MemberEst. 2000
Total AUM
—
Advisory reps
155
Avg account
$0

Firm details

Headquarters
Folsom, California
CRD number
103747
Registered since
July 7, 2000

Firm profile

FINTRX

Overview

AW Securities is organized as a limited liability company and has been SEC-registered since 2000. FINTRX classifies ownership as a combination of a domestic entity and an individual and lists the firm as "Unclassified" for its business type. The snapshot indicates the firm does not act as a capital allocator, is not marked as an active ESG investor, is not designated a multi-state adviser, and is not identified as a pension consultant or related adviser. The FINTRX record provides minimal detail about the firm's specific advisory offerings, client segments, or fee arrangements.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 5
  • Corey Gamble

    Corey Gamble

    Chief Compliance OfficerCRD 4919573

  • Darla Sipolt

    Darla Sipolt

    Chief Client OfficerCRD 2031939

  • Patrick Mcclain

    Patrick Mcclain

    Co-Founder and Co-CEOCRD 2055994

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Contacts

3 of 150
  • James Moore

    James Moore

    Partner, AdvisorCRD 5785151

  • Jessica Baumgartner

    Jessica Baumgartner

    Financial AdvisorCRD 5156945

  • Michelle Disney

    Michelle Disney

    Financial AdvisorCRD 5223974

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Folsom, CA

Sacramento

Location

Folsom, CA

Headquartered in Folsom, CA, anchoring the Sacramento-Roseville, CA metro in the West.

Metro area
Sacramento-Roseville, CA
Region
West
County
Sacramento
Address
340 Palladio Pkwy
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth