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MC

Michael J. Coughlin

WORLD INVESTMENTS
Santa Barbara, CA 93101
Some features on this profile are disabled
CRD#: 2967951
MC

Professional summary

Michael Joseph Coughlin, who also goes by Mike Coughlin, is a registered financial professional currently at WORLD INVESTMENTS, LLC located in Santa Barbara, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Coughlin

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Coughlin's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 31, 2025 - Present

WORLD INVESTMENTS, LLC

Office #1: 24 East Cota Street Suite 200, Santa Barbara, CA 93101
BD
CRD#: 20626
Santa Barbara, CA
Past

April 12, 2024 - October 31, 2025

PENSIONMARK SECURITIES, LLC

BD
CRD#: 283952
Wall, NJ
Past

August 1, 2013 - April 12, 2024

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

February 16, 2006 - August 5, 2013

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
NEPTUNE, NJ
Past

January 15, 2003 - December 31, 2005

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

February 11, 1999 - December 31, 2002

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(10/31/2025)
RR
Delaware
(10/31/2025)
RR
Florida
(10/31/2025)
RR
Illinois
(10/31/2025)
RR
Nevada
(10/31/2025)
RR
New Jersey
(10/31/2025)
RR
New York
(10/31/2025)
RR
Pennsylvania
(10/31/2025)
RR
South Carolina
(10/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/21/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/24/2000
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WI
WORLD INVESTMENTS, LLC
COLTS NECK WHY T&T SECURITIES, INC. | WORLD INVESTMENTS, LLC | WORLD INVESTMENTS, INC. | WORLD ADVISORY SERVICES | TFS WEALTH MANAGEMENT | TFS SECURITIES, INC. | TFS POTFOLIO ADVISORY SERVICES | TFS PORTFOLIO ADVISORY SERVICES,DIVISION OF TFS SECURITIES, INC. | TFS PORTFOLIO ADVISORY SERVICES, A DIVISION OF TFS SECURITIES, INC. | TFS PORTFOLIO ADVISORY SERVICES | TFS ADVISORY SERVICES | NASD SPELLING ERROR - POTFOLIO SHOULD BE PORTFOLIO | INNOVATIVE MARKET TRENDS | FREEMAN & VANNAUKER | FFP WEALTH MANAGEMENT

CRD#: 20626 / SEC#: 801-56426, 8-38377

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
437 Newman Springs Road, Lincroft, NJ 07738
Mailing Address
437 Newman Springs Road, Lincroft, NJ 07738
Phone number
(732) 758-9300
Established
New Jersey since 09/30/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
217

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WORLD ADVISORY SERVICES ADV PART 2 FIRM BROCHURE 2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WIA CORPORATE BUYER, LLCSHAREHOLDER
CARTER, ANA ROUMENOVAFINOP4424794
CURLEY, JONATHAN EPRESIDENT827148
TOOLE, BARRY PCCO3142901

Regulatory assets under management

Total Number of Accounts4,697
AUM (Assets Under Management)$ 1,734,780,346

Disclosures

Regulatory Event3
Arbitration2
Bond1

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.

Company Information

WORLD INVESTMENTS, LLC

CRD#: 20626Santa Barbara, CA 93101

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