Paul J. Ballon
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.
Paul Joseph Ballon, who also goes by Paul Joseph Ballon Jr, Paul Joseph Ballon, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1973. Paul had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2016 - November 6, 2019
IFS SECURITIES
January 2, 1990 - September 16, 2016
LAWSON FINANCIAL CORPORATION
January 15, 1985 - January 12, 1990
SWINK & COMPANY, INC.
July 27, 1979 - December 21, 1984
J. MILTON NEWTON, INCORPORATED
March 6, 1973 - February 22, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
March 6, 1973 - February 22, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 1973 - February 22, 1976
IDS LIFE INSURANCE COMPANY
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: 3/26/1973
Registered Representative ExaminationCurrent Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 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.
