James F. Caparelli
GWN SECURITIES
Savannah, GA 31406
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CRD#: 2499926
Professional summary
James Frank Caparelli, CFP®, who also goes by Jimmy Caparelli, is a registered financial advisor currently at GWN SECURITIES INC. located in Savannah, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jimmy Caparelli
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.
CAPARELLI WEALTH MANAGEMENT, INSURANCE SALES, INDEPENDENT INSURANCE AGENT Securities DBA used in conjunction with Investment Sales, 340 EISENHOWER DR #1102-B, SAVANNAH, GA 31406. TIME DEVOTED 25% INSURANCE Is Not Investment Related, "Insurance sales - Life, LTC, Fixed Annuities, Fixed Indexed Annuities",Representative,1994-06-01,10 hours per month,0 hours per month during trading hours, Commission Compensation, "This was previously reported on 10/20/2011 and also 7/1/1010. Uncertain why is is not seen under current disclosure tracking. Duties include sales and service of Life, LTC, Fixed Annuities, Fixed Indexed Annuities." REAL ESTATE RENTAL POSITION: CO-OWNER NATURE: RESIDENTIAL REAL ESTATE RENTAL.CO-OWNER WITH MY SPOUSE IN OWNERSHIP OF ONE RESIDENTIAL PROPERTY WITH THE INTENT TO RENT TO A TENANT. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 11/01/2014 ADDRESS: 511 JOHNSTON ST., SAVANNAH GA 31405 DESCRIPTION: CO-OWNER, WITH SPOUSE. THIS IS GENERALLY A PASSIVE ACTIVITY.DUTIES MAY INCLUDE TENANT RENT COLLECTION AND ORGANIZING POSSIBLE REPAIRS IF / WHEN NECESSARY. REAL ESTATE RENTAL (HOSTESS CITY PROPERTIES, LLC) POSITION: co-owner NATURE: Residential Real Estate Rental.Co-Owner with my spouse in ownership of one residential property with the intent to rent to a tenant. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2014 ADDRESS: 511 Johnston St., Savannah GA 31405 DESCRIPTION: Co-Owner, with spouse. This is generally a passive activity.Duties may include tenant rent collection and organizing possible repairs if / when necessary.
CRS (Client Relationship Summary) - RIA
Click below to view James Frank Caparelli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Frank Caparelli'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®
CFP®
Start date: 2011
Experience
Current
August 17, 2010 - Present
GWN SECURITIES INC.
Office #1: 7505 Waters Ave Ste. A-3, Savannah, GA 31406RIA
BD
CRD#: 128929
Savannah, GA
Current
August 4, 2010 - Present
GWN SECURITIES INC.
Office #1: 7505 Waters Ave Ste. A-3, Savannah, GA 31406RIA
BD
CRD#: 128929
Savannah, GA
Past
January 31, 2007 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
SAVANNAH, GA
Past
December 4, 2006 - August 4, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
SAVANNAH, GA
Past
January 12, 2001 - December 4, 2006
STUART SECURITIES CORP.
BD
CRD#: 47076
NORCROSS, GA
Past
November 14, 1994 - February 9, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Alabama(1/27/2016)
RR
Arizona(11/21/2023)
RR
Florida(8/20/2010)
IAR
Georgia(8/17/2010)
RR
Georgia(8/19/2010)
RR
Louisiana(12/2/2016)
RR
Maryland(4/21/2025)
RR
North Carolina(12/1/2016)
RR
Ohio(10/10/2017)
RR
Pennsylvania(3/8/2023)
RR
South Carolina(8/5/2020)
RR
Texas(9/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
