Nickolas J. Ballas
Professional summary
Nickolas J Ballas is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Nickolas is registered as a RR (Registered Representative) and started their career in finance in 1984. Nickolas has worked at 14 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nickolas J Ballas's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 2022 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262March 24, 2020 - April 2, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 15, 2016 - March 31, 2020
PRUCO SECURITIES, LLC.
May 27, 2009 - October 30, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
July 19, 2004 - May 3, 2006
NEW ENGLAND SECURITIES
July 9, 2001 - July 19, 2004
MONY SECURITIES CORPORATION
November 5, 1999 - July 27, 2001
METROPOLITAN LIFE INSURANCE COMPANY
November 5, 1999 - July 27, 2001
MSI FINANCIAL SERVICES, INC.
March 4, 1999 - June 24, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 4, 1999 - June 24, 1999
OSAIC FA, INC.
March 22, 1996 - December 16, 1998
THE ADVISORS GROUP, INC.
January 17, 1996 - December 16, 1998
THE ADVISORS GROUP, INC.
September 20, 1995 - January 24, 1996
CARILLON INVESTMENTS, INC.
April 19, 1991 - April 11, 1995
THE ADVISORS GROUP, INC.
December 11, 1984 - January 24, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 11, 1984 - January 24, 1991
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/14/2025)
(4/22/2022)
(4/25/2022)
(4/22/2022)
(2/4/2025)
(4/27/2022)
(4/25/2022)
Exams
FINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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