Donald A. Ballarini
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.
Donald Anthony Ballarini was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 12 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2006 - February 7, 2013
RAYMOND JAMES & ASSOCIATES, INC.
August 25, 2006 - February 7, 2013
RAYMOND JAMES & ASSOCIATES, INC.
August 12, 2006 - September 12, 2006
UBS FINANCIAL SERVICES INC.
August 12, 2006 - September 12, 2006
UBS FINANCIAL SERVICES INC.
August 5, 2003 - August 12, 2006
PIPER SANDLER & CO.
August 4, 2003 - August 12, 2006
PIPER SANDLER & CO.
May 4, 2001 - August 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 18, 1994 - October 27, 1999
SCHRODER & CO. INC.
May 20, 1991 - August 15, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - May 21, 1991
WELLS FARGO CLEARING SERVICES, LLC
April 26, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
March 4, 1988 - May 27, 1988
GRUNTAL & CO., L.L.C.
June 29, 1987 - March 8, 1988
MOSELEY SECURITIES CORPORATION
February 12, 1985 - July 14, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
June 20, 1984 - January 25, 1985
LEHMAN BROTHERS INC.
May 22, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
