Mark E. Balasa
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.
Mark Edward Balasa was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 8 firms and has passed the Series 63, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2001 - August 6, 2021
BALASA DINVERNO FOLTZ LLC
March 28, 1994 - December 31, 1994
WATERSTONE FINANCIAL GROUP, INC.
November 19, 1989 - February 23, 1994
OSAIC WEALTH, INC.
October 20, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 29, 1989 - October 26, 1989
LAKE GENEVA INVESTMENTS, LTD.
May 19, 1987 - April 6, 1989
CAPITOL SECURITIES MANAGEMENT, INC.
November 5, 1986 - March 19, 1987
WHYTECLIFFE SECURITIES INC.
January 16, 1986 - December 20, 1986
INVESTORS BROKERAGE SERVICES, 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
BALASA DINVERNO FOLTZ LLC
CRD#: 113630 / SEC#: 801-60368
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,756 |
| AUM (Assets Under Management) | $ 5,917,746,495 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2023 | ||
| 11/02/2022 | ||
| 01/17/2022 |
Red Flags
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