Norman Dollman Ballard | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Norman Dollman Ballard was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1982. Norman had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 22 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

No

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 3, 2012 - April 9, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FARMINGTON, CT

Past

June 29, 2007 - April 9, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

FARMINGTON, CT

Past

May 6, 1996 - December 31, 2011

ASSET PLANNING CORPORATION

RIA

CRD#: 126242

FARMINGTON, CT

Past

December 7, 1994 - June 29, 2007

MUTUAL SERVICE CORPORATION

BD

CRD#: 4806

FARMINGTON, CT

Past

July 6, 1992 - June 7, 1993

J. PEARCE SECURITIES, INC.

BD

CRD#: 29206

Past

June 13, 1988 - June 18, 1992

EASTERN STATES SECURITIES, INC.

BD

CRD#: 6786

DERBY, NY

Past

May 7, 1987 - June 10, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

BD

CRD#: 6403

Past

January 25, 1984 - May 19, 1987

FINANCIAL CENTRE SECURITIES, INC.

BD

CRD#: 13720

Past

March 30, 1982 - December 12, 1983

FINANCIAL PLANNERS OF THE PALM BEACHES SECURITIES, INC.

BD

CRD#: 10059

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

Series 63

Date: 5/31/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/15/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 6

Date: 3/13/1982

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 2/3/1982

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

RR

Series 27

Date: 10/20/1984

Financial and Operations Principal Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Norman D. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

ASSET PLANNING CORPORATION

MUTUAL SERVICE CORPORATION

J. PEARCE SECURITIES, INC.

EASTERN STATES SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL CENTRE SECURITIES, INC.

FINANCIAL PLANNERS OF THE PALM BEACHES SECURITIES, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/2014

Series 65

Date: 2/15/1996

SIE

Date: 10/1/2018

Series 6

Date: 3/13/1982

Series 22

Date: 2/3/1982

Series 27

Date: 10/20/1984

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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