Maston L. Ballew
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.
Maston Leland Ballew III, who also goes by Maston Leland Ballew, Matt Ballew, was a registered financial professional .
Maston is a previously registered financial professional and started their career in finance in 1982. Maston had worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2002 - December 31, 2002
CHOICES INC
January 2, 1995 - January 17, 2023
BALLEW ADVISORS INC
September 16, 1993 - January 17, 2023
BALLEW INVESTMENTS, INC.
March 2, 1982 - September 22, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
