MC
Michael V. Carballo
GWN SECURITIES
Miami, FL 33130
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CRD#: 6638271
MC
Professional summary
Michael Victor Carballo, who also goes by Michael Carballo, is a registered financial advisor currently at GWN SECURITIES INC. located in Miami, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Carballo
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.
West Flagler Associates. POSITION: Jai-Alai Player NATURE: Sports INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2020 ADDRESS: 450 NW 37th Ave, Miami, FL 33125, United States DESCRIPTION: This does not involve the solicitation of any financial products or services. I intend to play the professional sport of Jai-Alai in the evenings due to my prior background in professional athletics. LIFE & HEALTH INSURANCE POSITION: Agent NATURE: Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/01/2020 ADDRESS: 175 SW 7th St #1808, Miami, FL 33130, United States DESCRIPTION: Life Insurance sales to customers. ABMM FINANCIAL POSITION: Registered Representative NATURE: DBA/Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/20/2023 ADDRESS: 175 SW 7th St. Miami, FL 33130, United States DESCRIPTION: Yes this is my DBA and will be used for Financial Services as Financial Representative. CORAL GABLES FIRE DEPARTMENT INVESTMENT RELATED: Is Not Investment Related, ADDRESS: 2151 Salzedo Street, , Coral Gables, FL, 33134, United States" NATURE: Emergency Medical Services, POSITION: Firefighter, START DATE: 9/1/2024, NUMBER OF HOURS: 240 hours per month, SECURITIES TRADING HOURS: 50 hours per month during trading hours DESCRIPTION: I intend to become a firefighter and serve my community 2-3 days per week. CARBALLO CONSULTING LLC NOT INVESTMENT RELATED; CEO; ADDRESS: 6317 NW 170LN HIALEAH FL 33015; BUSINESS NATURE: INSURANCE; 120 HOURS PER MONTH AND 40HOURS PER MONTH DURING TRADING HOURS; START DATE: 10/07/2024; COMPENSATION TYPE: COMMISSIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Victor Carballo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Victor Carballo'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
June 29, 2023 - Present
GWN SECURITIES INC.
Office #1: 175 Sw 7th St #1808, Miami, FL 33130RIA
BD
CRD#: 128929
Miami, FL
Current
June 28, 2023 - Present
GWN SECURITIES INC.
Office #1: 175 Sw 7th St #1808, Miami, FL 33130RIA
BD
CRD#: 128929
Miami, FL
Past
January 6, 2020 - June 28, 2023
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Miami, FL
Past
January 2, 2020 - June 28, 2023
IFP SECURITIES, LLC
BD
CRD#: 297287
Miami, FL
Past
March 22, 2017 - December 31, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Miami, FL
Past
November 7, 2016 - December 31, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Miami, FL
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(6/28/2023)
IAR
Florida(6/29/2023)
RR
Massachusetts(6/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/5/2019
General Securities Representative ExaminationGeneral 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.
Company Information
GWN SECURITIES INC.
CRD#: 128929Miami, FL 33130TRUST BUT VERIFY
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