MB
Michael Ballan
GWN SECURITIES
FRANKLIN LAKES, NJ
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CRD#: 1591350
MB
Professional summary
Michael Ballan is a registered financial advisor currently at GWN SECURITIES INC. located in Franklin Lakes, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) MICHAEL BALLAN CAPITAL ADVISORS LLC; DBA; INVESTMENT RELATED; 1600 RT 208 N HAWTHORNE NJ 07506; FINANCIAL PROFESSIONAL, AGENT; STARTED 1987; 3 HRS/MTH; 0 HRS/MTH DURING ST HOURS; INVESTMENT SALES, LIFE INSURANCE, DISABILITY INSURANCE, LONG TERM CARE INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ballan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Ballan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 2, 2015 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
FRANKLIN LAKES, NJ
Current
June 1, 2015 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
January 9, 2009 - June 11, 2015
NEW CENTURY FINANCIAL GROUP, LLC
RIA
CRD#: 104553
HAWTHORNE, NJ
Past
December 11, 2003 - August 22, 2015
AGM FINANCIAL SERVICES, INC.
RIA
CRD#: 125105
FAIR LAWN, NJ
Past
October 16, 1995 - June 4, 2015
OSAIC WEALTH, INC.
BD
CRD#: 23131
HAWTHORNE, NJ
Past
March 31, 1995 - October 12, 1995
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
May 6, 1987 - March 29, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 6, 1987 - March 29, 1995
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(6/1/2015)
RR
Nevada(6/30/2015)
RR
New Jersey(6/1/2015)
IAR
New Jersey(6/2/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
744
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| RITTMAN, BARRY RICHARD | CFO FINOP VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
