AW Securities

Broker-DealerFINRA MemberEst. 2000
Total AUM
Advisory reps
154
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 lists the firm as owned by a domestic entity and an individual and classifies it as "unclassified." The profile indicates AW Securities does not act as a capital allocator, does not identify as an active ESG investor, and is not listed as a multi-state adviser or a pension consultant. Several typical firm attributes (client base, fee structure, advisory activities) are not provided in the source data.

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 4
  • Patrick Mcclain

    Patrick Mcclain

    Co-Founder and Co-CEOCRD 2055994

  • Barry Greenberg

    Barry Greenberg

    Chief Legal OfficerCRD 5863733

  • Corey Gamble

    Corey Gamble

    Chief Compliance OfficerCRD 4919573

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Contacts

3 of 150
  • Christina Jordan

    Christina Jordan

    National Business Development DirectorCRD 2644840

  • Richard Erickson

    Richard Erickson

    Head of OperationsCRD 2704674

  • Steven Burnett

    Steven Burnett

    Financial AdvisorCRD 2315967

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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