Alison Nicole Stine

CFP

Gwn Securities INC.

11 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & Coaching

Gwn Securities INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

487 advisors

Number of Clients

37,091 clients

Average Client Portfolio

$98K average

Assets Under Management

$3.7B

Fee Structure

Minimum Investment:$2K

Location

Scottsdale, AZ

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 2020

Settled

Regulatory

November 2020

Final

Employment Separation After Allegations

October 2020

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Alison is a licensed insurance agent providing life, accident, health, and long-term care insurance options to clients, dedicating a few hours per week to this activity. She is also a financial professional and the member/manager of Stine Wealth Management LLC, spending nearly full-time hours on these investment-related activities.

Employment History

Current Registrations

Gwn Securities INC.

November 2020 - Present · 5 yrs 3 mos

Gwn Securities INC.Broker

November 2020 - Present · 5 yrs 3 mos

Previous Registrations

Equitable Advisors, LLC

September 2015 - October 2020 · 5 yrs 1 mo

Equitable Advisors, LLCBroker

July 2014 - October 2020 · 6 yrs 3 mos

State Registrations7 states

AKAZCAGASCTXUT

AdvisorBrokerBoth

Exams

No exam information available for this advisor.