Carol J. Balkey
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.
Carol Jane Balkey was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1985. Carol had worked at 11 firms and has passed the Series 66, Series 63, SIE 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
October 30, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 30, 2018 - January 11, 2021
TD AMERITRADE, INC.
October 30, 2018 - January 11, 2021
TD AMERITRADE, INC.
March 6, 2014 - October 10, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 11, 2008 - October 10, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 25, 2005 - November 26, 2007
JANNEY MONTGOMERY SCOTT LLC
June 25, 2005 - November 26, 2007
JANNEY MONTGOMERY SCOTT LLC
February 7, 2005 - June 25, 2005
PARKER/HUNTER INCORPORATED
December 10, 2001 - June 25, 2005
PARKER/HUNTER INCORPORATED
April 1, 1999 - December 3, 2001
CITIGROUP GLOBAL MARKETS INC.
November 19, 1997 - October 28, 1998
COMMONWEALTH FINANCIAL NETWORK
March 13, 1992 - May 15, 1996
CHARLES SCHWAB & CO., INC.
January 21, 1992 - March 4, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1987 - January 25, 1991
DREYFUS INVESTMENT SERVICES COMPANY, LLC
February 21, 1985 - December 6, 1986
HEFREN-TILLOTSON, 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
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
