CN
Carl A. Neitzel
GWN SECURITIES
Palm Beach Gardens, FL 33418
Some features on this profile are disabled
CRD#: 3044454
CN
Professional summary
Carl Alexander Neitzel is a registered financial advisor currently at GWN SECURITIES INC. located in Palm Beach Gardens, Florida.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Carl has worked at 4 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 26 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.
CONSULTING ARRANGEMENT WITH TSCI, WITH REGARD TO THE FTJ AND FEW OTHER CLIENTS.
BUSINESS IS NOT INVESTMENT RELATED, BUSINESS IS SOFTWARE RELATED.
AGREEMENT IS AFFECT 8/1/2014
40 HOURS A MONTH
2,000 MONTH CONSULTING PAYMENT
CRS (Client Relationship Summary) - RIA
Click below to view Carl Alexander Neitzel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Alexander Neitzel'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
December 2, 2004 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418Office #2: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #3: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Current
January 20, 2004 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418Office #2: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #3: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
Palm Beach Gardens, FL
Past
November 19, 2003 - March 9, 2004
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
May 15, 2002 - October 1, 2003
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
WEST PALM BEACH, FL
Past
July 7, 1998 - October 1, 2003
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
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
California(3/11/2008)
RR
Connecticut(1/3/2007)
RR
Florida(3/9/2004)
IAR
Florida(12/2/2004)
RR
Ohio(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
