AW Securities

Broker-DealerFINRA MemberEst. 2000
Total AUM
Advisory reps
156
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 that has been SEC-registered since 2000. FINTRX characterizes the firm as unclassified and lists the owner type as a combination of a domestic entity and an individual. The database indicates AW Securities is not a capital allocator, not an active ESG investor, not a multi-state adviser by designation, and does not serve as a pension consultant or related adviser. The firm has provided minimal public detail about its advisory activities, client segments, or fee model. That limited disclosure makes it difficult to profile their client-facing services or investment process beyond what FINTRX reports on alternative allocations.

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 151
  • 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