Roy C. Ballentine

Some features on this profile are disabled

CRD#: 1100859

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.

Roy Cooper Ballentine, CFP® was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1983. Roy had worked at 4 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

Wright Museum of World War II, Wolfeboro, NH - Investment Committee member, Non-profit, volunteer committee member Ballentine & Co, LLC, Wolfeboro, NH - which is a Member of Ballentine Partners, LLC, Chair of the Board of Managers Families in Transition, Wolfeboro, NH - Investment Committee member, non-profit, volunteer committee member City Year New Hampshire, Manchester, NH - Board member, non-profit, volunteer committee member Brewster Academy, Wolfeboro, NH - Board Chair, Investment Committee member, volunteer position BA International, LLC - Board member. Not compensated. Not investment related. Brewster Academy Spain, S.L., Not investment-related; Ayala 27, 4� dcha, Madrid 28001; Private school, grades K-12; Position: Director; Title: Chair of the Board of Directors; Start date: 6/10/2022; Hours per month: 5; Hours during trading hours: 5; Duties: Planning and participating in bi-monthly Board of Directors meetings Wolfeboro Area Recreation Association ("The Nick"), Wolfeboro, NH - Investment Committee member, non-profit, volunteer committee member The Children's Center, Wolfeboro, NH - Board of Trustees member, representative on Investment Committee, non-profit, volunteer committee member Big Brothers Big Sisters NH, Stratham, NH - Board member, strategic planning advice, non-profit, volunteer committee member

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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Past

February 22, 2010 - April 24, 2024

BALLENTINE PARTNERS

RIA

CRD#: 152802

Wolfeboro, NH

Past

January 1, 1989 - February 23, 2010

BALLENTINE FINN & CO INC

RIA

CRD#: 108853

WOLFEBORO, NH

Past

December 18, 1985 - August 13, 1988

NEW ENGLAND SECURITIES

CRD#: 615

Past

March 9, 1983 - March 24, 1986

NYLIFE SECURITIES LLC

CRD#: 5167

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".

BALLENTINE PARTNERS

BALLENTINE PARTNERS | MILL STREET INVESTMENT MANAGEMENT | BALLENTINE PARTNERS, LLC

CRD#: 152802 / SEC#: 801-71062

RIA

Registered Investment Advisory firm - (1/25/2010 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

Series 63

Date: 9/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 9/25/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BALLENTINE PARTNERS

BALLENTINE PARTNERS | MILL STREET INVESTMENT MANAGEMENT | BALLENTINE PARTNERS, LLC

CRD#: 152802 / SEC#: 801-71062

RIA

Registered Investment Advisory firm - (1/25/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

230 3rd Avenue Suite 6, Waltham, MA 02451

Mailing Address

230 3rd Avenue Suite 6, Waltham, MA 02451

Phone number

(781) 314-1300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BALLENTINE PARTNERS LLC (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,877
AUM (Assets Under Management)	$ 12,005,636,010

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/31/2025	Cover Page	Report
02/26/2025	Cover Page	Report
12/21/2023	Cover Page	Report
11/16/2022	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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roy C. Ballentine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BALLENTINE FINN & CO INC

NEW ENGLAND SECURITIES

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

BALLENTINE PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1984

Series 22

Date: 9/25/1984

Series 6

Date: 3/8/1983

Current Firm

BALLENTINE PARTNERS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BALLENTINE PARTNERS

TRUST BUT VERIFY

Contact information

Similar Advisors