Larry R. Balliett
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.
Larry Robert Balliett was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1969. Larry had worked at 13 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 000 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
June 25, 1998 - January 4, 1999
BANGOR SECURITIES, INC.
December 4, 1995 - December 31, 1997
NEW ENGLAND SECURITIES
September 17, 1994 - November 6, 1995
ACUMENT SECURITIES, INC.
March 22, 1993 - April 13, 1994
KEY INVESTMENTS INC.
April 15, 1992 - February 8, 1993
ACUMENT SECURITIES, INC.
April 12, 1991 - January 15, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 1990 - March 18, 1991
ACUMENT SECURITIES, INC.
October 4, 1989 - June 21, 1990
WELLS FARGO SECURITIES, LLC
August 25, 1989 - October 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
February 17, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
September 30, 1985 - October 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 1, 1984 - October 18, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
May 27, 1981 - September 28, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1981 - June 11, 1981
LPL FINANCIAL LLC
November 10, 1976 - November 25, 1977
BIRR, WILSON & CO., INC.
October 7, 1976 - November 29, 1976
E. F. HUTTON & COMPANY INC
May 27, 1975 - May 22, 1977
STARR & KUEHL, INC.
February 25, 1969 - June 22, 1975
E. F. HUTTON & COMPANY 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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 000
Date: 2/21/1969
General Securities Principal ExaminationSeries 1
Date: 2/21/1969
Registered Representative ExaminationCurrent Firm
BANGOR SECURITIES, INC.
CRD#: 4302 / SEC#: , 8-17960
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANGOR SAVINGS BANK AND SUBSIDIARIES | 100% OWNER | |
| BOSSIDY, ERIC GARETH | VICE PRESIDENT/ CHIEF COMPLIANCE OFFICER | 2524738 |
| CARLISLE, DAVID M | DIRECTOR | |
| CONLON, JAMES J. | DIRECTOR | |
| MACLEOD, JAMES A | PRESIDENT | 4372272 |
| NICKERSON, BRUCE G | TREASURER/OFFICER | |
| PIASIO, GREGG MICHAEL | DIRECTOR | 1288289 |
| STRONG, ROBERT A | DIRECTOR |
Disclosures
| Regulatory Event | 3 |
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.
