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WB

William A. Ballentine

Some features on this profile are disabled
CRD#: 1377647
WB

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 Andrew Ballentine was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1985. William had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 20, 2008 - December 15, 2009

ACAP FINANCIAL INC.

BD
CRD#: 7731
PALATINE, IL
Past

September 30, 2002 - September 5, 2006

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

May 4, 1995 - October 21, 2004

SIERRA EQUITY GROUP LLC

BD
CRD#: 36518
BOCA RATON, FL
Past

July 1, 1991 - June 2, 1995

ACAP FINANCIAL INC.

BD
CRD#: 7731
SALT LAKE CITY, UT
Past

August 31, 1990 - July 1, 1991

ALLIANCE SECURITIES CORPORATION

BD
CRD#: 15468
Past

December 20, 1989 - August 30, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 26, 1989 - December 19, 1989

SHELTER ROCK SECURITIES CORP.

BD
CRD#: 11043
Past

January 22, 1988 - February 21, 1989

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

July 23, 1985 - December 4, 1987

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/21/1988
General Securities Principal Examination

Current Firm

AF
ACAP FINANCIAL INC.
ACAP FINANCIAL INC. | PRIVATE CAPITAL MANAGEMENT, INC. | MICHAEL ANDREW SECURITIES, INC. | DOMESTIC INTERNATIONAL CORP. | BIRCHTREE SECURITIES, INC. | ALLIANCE CAPITAL INCORPORATED

CRD#: 7731 / SEC#: , 8-22821

BD
Terminated by SEC on 02/18/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 05/03/1978
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FERGUSON, KIRK LYNNPRESIDENT, CEO, CFO, CCO, CO1307741

Disclosures

Regulatory Event18
Arbitration1

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.

Company Information

ACAP FINANCIAL INC.

CRD#: 7731

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