Nicholas J. Cavallo
FINANCIAL MANAGEMENT NETWORK
Mission Viejo, CA 92691
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CRD#: 6854600
Professional summary
Nicholas Joseph Cavallo, who also goes by Nick Cavallo, is a registered financial advisor currently at FINANCIAL MANAGEMENT NETWORK INC located in Mission Viejo, California and FMN CAPITAL CORPORATION located in Mission Viejo, California.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Biography
Nick Cavallo started with FMN in 2017 as a Financial Planning Trainee. He has since become a Registered Representative with FMN Capital Corporation and an Investment Advisor Representative of Financial Management Network. He holds Series 7 (general securities representative exam), Series 66 (Uniform Investment Adviser - Combined State Law Exam), life, health, and disability licenses. He graduated from California State University- Fullerton with a Bachelor’s degree in Business Administration with an emphasis in Finance.
Nick’s primary objective is to help clients meet their near-term, intermediate, and long-term financial goals by offering trusted advice. He specializes in creating comprehensive financial plans to gain a deep understanding of each client’s unique financial situation. The Financial Planning process he offers covers a broad range of services which includes helping clients with cash management, tax reduction strategies, wealth accumulation, retirement planning, and their insurance needs. Nick works with a team of Certified Financial Planners™, tax specialists, and, portfolio managers in an effort to provide clients with the best service possible.
Nick was born and raised in Southern California. He and his future wife Claire enjoy travelling and spending time with Family and Friends.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Cavallo
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.
2020- registered representative FMN Insurance Licensed- life, health, variable- CA insurance licensed 03/2023- NJC Financial; S Corp; Owner; CA; not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Joseph Cavallo'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
November 20, 2020 - Present
FINANCIAL MANAGEMENT NETWORK INC
Office #1: 26041 Acero, Mission Viejo, CA 92691RIA
CRD#: 110454
Mission Viejo, CA
Current
July 27, 2020 - Present
FMN CAPITAL CORPORATION
Office #1: 26041 Acero, Mission Viejo, CA 92691BD
CRD#: 38105
Mission Viejo, CA
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".
FM
FINANCIAL MANAGEMENT NETWORK INC
FINANCIAL MANAGEMENT NETWORK INC | FINANCIAL MANAGEMENT NETWORK INC.
CRD#: 110454 / SEC#: 801-40473
RIA
Registered Investment Advisory firm - (12/31/1991 Approved)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(2/4/2021)
IAR
Arizona(5/21/2025)
RR
California(11/20/2020)
IAR
California(11/20/2020)
RR
Hawaii(9/19/2024)
RR
Illinois(11/9/2022)
RR
Minnesota(5/24/2021)
RR
New Jersey(5/12/2023)
RR
Oklahoma(4/1/2025)
RR
Oregon(2/24/2021)
RR
Tennessee(3/17/2023)
RR
Washington(7/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/24/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FM
FINANCIAL MANAGEMENT NETWORK INC
FINANCIAL MANAGEMENT NETWORK INC | FINANCIAL MANAGEMENT NETWORK INC.
CRD#: 110454 / SEC#: 801-40473
RIA
Registered Investment Advisory firm - (12/31/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
26041 Acero, Mission Viejo, CA 92691
Mailing Address
Phone number
(949) 455-0300
Established
Firm type
Fiscal year end
# of Employees
49
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,200 |
| AUM (Assets Under Management) | $ 1,796,671,361 |
Red Flags
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