NB
Nickolas J. Ball
GWN SECURITIES
St. George, UT 84790
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CRD#: 6097391
NB
Professional summary
Nickolas Jared Ball, who also goes by Nickolas Ball, Nick Ball, is a registered financial advisor currently at GWN SECURITIES INC. located in St. George, Utah.
Nickolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nickolas has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nickolas Ball | Nick Ball
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) INSURANCE BROKERAGE | Investment Related: Yes | DBA Name: CAMBRIDGE FINANCIAL and IPC Financial | Position Held: Agent | Address: 3143 South 840 East Suite 319, ST GEORGE, UT 84790 | Start Date: 07/2012 | Nature of Activity: Life Insurance Brokerage | Approx Hrs Per Mth: 101-140 Hrs | Approx Trading Hrs Per Mth: 101-140 Hrs | Description of Duties: INSURANCE SALES & SERVICE FOR MULTIPLE CARRIERS, INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY. Health, Disability, Long Term Care Insurance license and work with multiple carriers with such lines of insurance. HOUSE RENTAL POSITION: Owner, Manager NATURE: House rental INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 980 McKinley Way, ST. GEORGE UT 84790, United States DESCRIPTION: Owner, manager of the property. Collect Rent, find tenants as needed, complete rental contract, and property maintenance as needed but it possible that this gets hired out depending on the issue at hand. Find and hire professionals to fix things as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Nickolas Jared Ball's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nickolas Jared Ball'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
January 11, 2017 - Present
GWN SECURITIES INC.
Office #1: 3143 South 840 East Suite 319, St. George, UT 84790RIA
BD
CRD#: 128929
St. George, UT
Current
January 11, 2017 - Present
GWN SECURITIES INC.
Office #1: 3143 South 840 East Suite 319, St. George, UT 84790RIA
BD
CRD#: 128929
St. George, UT
Past
June 16, 2014 - January 13, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
ST GEORGE, UT
Past
July 25, 2012 - January 13, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ST GEORGE, UT
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
Arizona(1/11/2017)
RR
California(11/18/2019)
RR
Colorado(5/23/2024)
RR
Florida(9/2/2020)
RR
Idaho(3/28/2018)
RR
Minnesota(1/21/2022)
RR
Missouri(5/23/2024)
RR
Montana(3/28/2017)
RR
Nebraska(3/28/2018)
RR
Nevada(1/11/2017)
RR
New Mexico(9/20/2021)
RR
North Carolina(4/29/2019)
RR
Oregon(3/26/2018)
RR
Utah(1/11/2017)
IAR
Utah(1/11/2017)
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.
