Timothy D. Ballard
Professional summary
Timothy David Ballard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Timothy had worked at 9 firms, which includes SECURITIES AMERICA INC., NATIONAL PLANNING CORPORATION, OSAIC SERVICES INC., SUNAMERICA SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., FSC SECURITIES CORPORATION, BRETCOURT SECURITIES CORPORATION, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2015 - November 30, 2016
SECURITIES AMERICA, INC.
December 7, 2005 - April 22, 2015
NATIONAL PLANNING CORPORATION
December 1, 2005 - April 22, 2015
NATIONAL PLANNING CORPORATION
October 31, 2005 - December 5, 2005
OSAIC SERVICES, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 3, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 13, 1985 - November 15, 1988
FSC SECURITIES CORPORATION
July 31, 1984 - February 26, 1985
BRETCOURT SECURITIES CORPORATION
November 18, 1982 - July 24, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
November 18, 1982 - July 24, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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