Jerome Ballan
Professional summary
Jerome Ballan is a registered financial professional currently at WELLINGTON SHIELDS & CO., LLC located in New York, New York.
Jerome is registered as a RR (Registered Representative) and started their career in finance in 1964. Jerome has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 16, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jerome Ballan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2009 - Present
WELLINGTON SHIELDS & CO., LLC
Office #1: 60 Broad Street 39th Floor, New York, NY 10004November 4, 2002 - December 11, 2009
SHIELDS & COMPANY
April 12, 1988 - October 2, 2002
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
April 21, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
January 17, 1979 - August 9, 1984
M.S. ETHEREDGE & CO., INC.
March 11, 1975 - February 17, 1979
BAIRD, PATRICK & CO., INC.
November 8, 1974 - March 31, 1975
SHEARSON HAYDEN STONE INC.
September 4, 1964 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
January 10, 1964 - March 20, 1987
BALFOUR INVESTORS INC.
Primary Firm SEC Registration
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2016)
(11/18/2009)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 2/2/1991
AMEX Put and Call ExamSeries 000
Date: 1/10/1964
General Securities Principal ExaminationSeries 1
Date: 6/5/1958
Registered Representative ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
WELLINGTON SHIELDS & CO., LLC
CRD#: 149021 / SEC#: 801-70755, 8-68098
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON SHIELDS HOLDINGS, LLC | OWNER | |
| CEMBROLA, JOSEPH NICHOLAS | MEMBER OPERATIONS | 2310761 |
| CURCURU, PHILIP MICHAEL | CFO/COO | 4170350 |
| GRANT, THOMAS WATERS | MANAGING MEMBER | 227594 |
| GULDEN, PAUL IMMO JR | MANAGING MEMBER | 231863 |
| MARCH, EDWARD KENNETH | SVP, HEAD OF TRADING, MSRB PRINCIPAL, SROP/CROP | 2100535 |
| MCFADDEN, WILLIAM JAMESON | CEO | 5337971 |
| PORTAS, STEPHEN JOHN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 2482930 |
| SHADEK, LAURENCE ARTHUR | MANAGING MEMBER/SECY | 419483 |
| SHIELDS, DAVID VINCENT | CHAIRMAN/MANAGING MEMBER | 1072810 |
| SPERRY, MARK PORTER | MEMBER | 1330909 |
Regulatory assets under management
| Total Number of Accounts | 524 |
| AUM (Assets Under Management) | $ 470,890,341 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/29/2025 | ||
| 08/29/2024 | ||
| 11/22/2023 | ||
| 01/27/2023 |
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.
