Gerald H. Ballan

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CRD#: 11410

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.

Gerald Howard Ballan, who also goes by Jerry Ballan, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1973. Gerald had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 5, Series 15, Series 1, Series 4, Series 12 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jerry Ballan

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

November 7, 2014 - August 31, 2017

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Pope AFB, NC

Past

October 23, 2014 - August 31, 2017

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Pope AFB, NC

Past

October 2, 2012 - February 27, 2013

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

RALEIGH, NC

Past

October 1, 2012 - February 27, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

RALEIGH, NC

Past

July 1, 2003 - September 29, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CORAL SPRINGS, FL

Past

July 1, 2003 - September 29, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CORAL SPRINGS, FL

Past

January 3, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

CORAL SPRINGS, FL

Past

September 16, 1977 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

October 22, 1974 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Past

May 29, 1974 - December 15, 1974

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

February 21, 1973 - June 30, 1974

BACHE & CO., INCORPORATED

CRD#: 66

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".

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

RIA

Registered Investment Advisory firm - SEC (5/31/2001 Approved)

Alaska

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/8/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/2/2001 Terminated)

Maryland

Registered Investment Advisory firm - SEC (6/11/2001 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2001 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Nevada

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/12/2006 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/6/2001 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/12/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/7/2001 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 11/17/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/17/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/13/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 3/7/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 1

Date: 2/12/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/8/1979

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 12/15/1978

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 40

Date: 11/17/1978

Registered Principal Examination

Current Firm

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132 / SEC#: 801-60300, 8-49711

RIA

Registered Investment Advisory firm - SEC (5/31/2001 Approved)

Alaska

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/8/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/2/2001 Terminated)

Maryland

Registered Investment Advisory firm - SEC (6/11/2001 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2001 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Nevada

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (10/12/2006 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (7/6/2001 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/12/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/7/2001 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131

Mailing Address

10150 Meanley Drive 1st Floor, San Diego, CA, 92131

Phone number

(858) 530-4400

Established

California since 11/07/1996

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

791

SEC notice filing (53 States and Territories)

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CUSO FINANCIAL WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CFS FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 3, INC.	LIMITED PARTNER
AWS 1, LLC	GENERAL PARTNER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
MADURSKI, ANGELA JILL	FINOP
SIMONSON, MARY KATHRYN	ADVISORY CHIEF COMPLIANCE OFFICER	1297398
SIMONSON, MARY KATHRYN	CHIEF COMPLIANCE OFFICER	1297398

Regulatory assets under management

Total Number of Accounts	29,354
AUM (Assets Under Management)	$ 5,378,345,125

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/27/2024	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	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.

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Advisor Monitoring

Firm Stability Insights

Gerald H. Ballan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUSO FINANCIAL SERVICES, L.P.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

BLYTH EASTMAN DILLON & CO. INCORPORATED

BACHE & CO., INCORPORATED

Primary Firm SEC Registration

CUSO FINANCIAL SERVICES, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2014

Series 65

Date: 2/17/1993

SIE

Date: 8/31/2017

Series 5

Date: 10/13/1983

Series 15

Date: 3/7/1983

Series 1

Date: 2/12/1973

Series 4

Date: 12/8/1979

Series 12

Date: 12/15/1978

Series 40

Date: 11/17/1978

Current Firm

CUSO FINANCIAL SERVICES, L.P.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (6 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CUSO FINANCIAL SERVICES, L.P.

TRUST BUT VERIFY

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