Harold V. Ballard
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.
Harold Virgil Ballard, who also goes by Harold V Ballard, Harry Ballard, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1970. Harold had worked at 10 firms and has passed the Series 63, SIE, PC, Series 1, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - January 28, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 22, 2009 - June 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 19, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 4, 1990 - June 22, 1995
WELLS FARGO CLEARING SERVICES, LLC
June 22, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
August 19, 1980 - June 24, 1989
RAUSCHER PIERCE REFSNES, INC.
December 1, 1973 - September 18, 1980
WEDBUSH SECURITIES INC.
May 8, 1973 - February 18, 1974
HARVEY ASSOCIATES, INC.
February 27, 1973 - February 18, 1974
UNITED SECURITIES COMPANY OF AMERICA
October 13, 1971 - April 13, 1973
J. SHAPIRO CO.
August 12, 1970 - November 15, 1971
F I DUPONT GLORE FORGAN & CO
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
PC
Date: 10/26/1978
AMEX Put and Call ExamSeries 1
Date: 2/29/1960
Registered Representative ExaminationSeries 00
Date: 3/20/1972
General Securities Principal ExaminationSeries 12
Date: 6/30/1967
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
