James H. 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.
James Hilary Ballard, who also goes by James Hillary Ballard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 7 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2009 - June 28, 2013
GROVE POINT INVESTMENTS, LLC
December 1, 2005 - December 31, 2008
GROVE POINT INVESTMENTS, LLC
December 1, 2005 - June 28, 2013
GROVE POINT INVESTMENTS, LLC
June 1, 2005 - December 6, 2005
EQUITABLE ADVISORS, LLC
June 1, 2005 - December 6, 2005
EQUITABLE ADVISORS, LLC
July 3, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
January 12, 1994 - October 16, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 16, 1986 - June 1, 2005
MONY SECURITIES CORPORATION
May 14, 1982 - July 16, 1986
GROVE POINT INVESTMENTS, LLC
January 7, 1980 - December 10, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 7, 1980 - September 12, 1983
MONY SECURITIES CORPORATION
November 18, 1974 - May 28, 1978
OSAIC FA, INC.
May 29, 1974 - May 28, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 1, 1973 - August 2, 1974
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Series 1
Date: 7/31/1973
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
