Michael Ballan

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Gwn Securities Inc.

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2015-06-02

NJ RA
APPROVED

Since 2015-06-02

Branch Locations

Franklin Lakes, NJ • United States

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • USA

11440 North Jog Road, Palm Beach Gardens, FL 33418-3764 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Gwn Securities Inc	Palm Beach Gardens	FL	06/2015	Present

06/2015 → Present

Gwn Securities Inc

Palm Beach Gardens, FL

Previous Registrations

2003-12-11 → 2015-08-22

Agm Financial Services, Inc.

Fair Lawn, NJ
2009-01-09 → 2015-06-11

New Century Financial Group, Llc

Princeton, NJ

Hawthorne, NJ

Princeton, NJ

Other Businesses

(1) MICHAEL BALLAN CAPITAL ADVISORS LLC; DBA; INVESTMENT RELATED; 1600 RT 208 N HAWTHORNE NJ 07506; FINANCIAL PROFESSIONAL, AGENT; STARTED 1987; 3 HRS/MTH; 0 HRS/MTH DURING ST HOURS; INVESTMENT SALES, LIFE INSURANCE, DISABILITY INSURANCE, LONG TERM CARE INSURANCE SALES.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1988-01-11

S63 Uniform Securities Agent State Law Examination

1988-01-11

View on SEC IAPD