AW SECURITIES

FOLSOM, CA · CRD 103747 · IAPD ↗ · 916-608-1525

$0Regulatory AUM

0Advisory reps

10Employees

0Clients

n/aPlanning clients

0Private funds

1States

0Disclosures

institutionalSegment

ApprovedSEC status

Filing changes

April 2025 — AW SECURITIES (FOLSOM, CA) left the SEC roster (was $0 RAUM, 0 reps).

Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.

Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.