Lynn Ballou
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.
Lynn Ballou, who also goes by Lynn Shulsinger, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1983. Lynn had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2016 - December 6, 2023
EP WEALTH ADVISORS
April 28, 1998 - January 21, 2016
BALLOU PLUM WEALTH ADVISORS LLC
December 31, 1997 - January 27, 2016
LPL FINANCIAL LLC
January 2, 1986 - January 27, 2016
LPL FINANCIAL LLC
June 22, 1983 - January 15, 1986
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
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