David L. Ballinger
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.
David Leroy Ballinger, who also goes by Dave Ballinger, David Ballinger, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1963. David had worked at 11 firms and has passed the 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
September 10, 2012 - January 7, 2013
SECURITIES AMERICA, INC.
November 17, 2011 - September 11, 2012
FINANCIAL WEST GROUP
June 24, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
January 4, 2007 - June 28, 2010
NATIONAL SECURITIES CORPORATION
April 26, 2005 - February 5, 2007
THE CONCORD EQUITY GROUP, LLC
January 28, 2004 - April 29, 2005
FIRST MONTAUK SECURITIES CORP.
February 5, 2002 - December 31, 2003
FIRST WALL STREET CORP.
July 7, 1988 - December 31, 2003
FIRST WALL STREET CORP.
February 9, 1982 - December 23, 1987
UBS FINANCIAL SERVICES INC.
December 22, 1981 - January 31, 1982
E. F. HUTTON & COMPANY INC
January 31, 1980 - September 18, 1981
UBS FINANCIAL SERVICES INC.
October 16, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 30, 1963 - January 16, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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: 11/20/1960
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
