Jonhenri Ball
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.
Jonhenri Ball was a registered financial advisor .
Jonhenri is a previously registered financial advisor and started their career in finance in 1983. Jonhenri had worked at 10 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2005 - May 17, 2007
ALLSTATE FINANCIAL SERVICES, LLC
April 2, 2001 - December 31, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 23, 2001 - December 31, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 10, 1998 - February 17, 1999
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 7, 1994 - October 23, 1996
CHASE GLOBAL SECURITIES, INC
February 11, 1992 - December 31, 1993
CFD INVESTMENTS, INC.
November 14, 1988 - December 31, 1989
ADVANTAGE CAPITAL CORPORATION
March 7, 1988 - October 27, 1988
KAVANAUGH SECURITIES, INC.
December 4, 1987 - February 4, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
August 22, 1984 - January 1, 1988
OSAIC FS, INC.
October 20, 1983 - September 10, 1984
STRUCTURED SHELTERS SECURITIES, INC.
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
