CT
Carlos E. Tocabens
GWN SECURITIES
NAPLES, FL
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CRD#: 2960806
CT
Professional summary
Carlos Eloy Tocabens JR is a registered financial advisor currently at GWN SECURITIES INC. located in Naples, Florida.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Carlos has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
PRINCIPAL WITH RETIREMENTRX: PENSION/401K AND HEALTH & WELFARE PLAN - DUTIES INCLUDE PLAN DESIGN AND ADMINISTRATION, SALE, AND SERVICE. RE-ACTIVATED EFFECTIVE 1/1/2006, HOURS DEVOTED IS APPROXIMATELY 2-3 HOURS PER WEEK (INCLUDING TRADING AND NON-TRADING HOURS). DUTIES ARE NON-INVESTMENT RELATED. PRESIDENT - RETIREMENTRX POSITION: President NATURE: Pension/Benefit Plan Administration, Record keeping INVESTMENT RELATED: NO, HOURS: 50, INVESTMENT RELATED HOURS: 0, START DATE: 07/01/2011 ADDRESS: 9638 Oxford Street, Naples, FL 34109 DESCRIPTION: Third-party design, administration, record-keeping, compliance for ERISA employee pension and benefit plans, including operational reviews, training employer's staff on key concepts of ERISA and the Internal Revenue Code rules, payroll administration, plan design, form 5500 tax filing preparation, annual IRC compliance including non-discrimination testing, Internal Revenue Service compliance resolution programs, DOL compliance resolution programs.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Eloy Tocabens JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Eloy Tocabens JR'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
May 27, 2009 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
NAPLES, FL
Current
January 5, 2006 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
April 14, 2005 - January 6, 2006
USI SECURITIES, INC.
BD
CRD#: 43793
GLASTONBURY, CT
Past
August 24, 2004 - October 22, 2004
FINANCIAL TELESIS INC
BD
CRD#: 31012
SAN RAFAEL, CA
Past
July 21, 2000 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
July 21, 2000 - July 15, 2004
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
December 24, 1997 - June 30, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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(1/5/2006)
IAR
Florida(5/27/2009)
RR
Virginia(1/5/2006)
Exams
State Security Law Exam
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.
