William F. Ballou
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.
William Fred Ballou was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 12 firms and has passed the Series 63, Series 1, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1992 - March 17, 1994
MEYERS POLLOCK ROBBINS, INC.
June 4, 1991 - June 24, 1991
BARRON CHASE SECURITIES, INC.
February 5, 1991 - April 12, 1991
INVESTORS ASSOCIATES, INC.
August 2, 1990 - December 7, 1990
THE WINDMILL GROUP, INC.
March 15, 1985 - October 5, 1989
GARFIELD SECURITIES INC.
May 27, 1982 - March 8, 1985
DOMIK CORP.
September 27, 1978 - June 3, 1982
EMPIRE NATIONAL SECURITIES, INCORPORATED
July 12, 1977 - December 26, 1977
G.RESEARCH, LLC
April 27, 1977 - July 22, 1977
TUCKER ANTHONY INCORPORATED
July 12, 1976 - June 5, 1977
JESUP & LAMONT SECURITIES CO., INC.
February 24, 1975 - August 2, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 2, 1973 - February 11, 1975
KIDDER, PEABODY & CO., 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: 12/21/1972
Registered Representative ExaminationSeries 8
Date: 7/29/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MEYERS POLLOCK ROBBINS, INC.
CRD#: 13436 / SEC#: , 8-11797
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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