Richard I. Balber

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CRD#: 1507939

Professional summary

Richard Irwin Balber was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Richard had worked at 9 firms, which includes SIGNAL SECURITIES INC., T.L. GROUP INC., STONEX SECURITIES INC., MEYERS POLLOCK ROBBINS INC., J. GREGORY & COMPANY INC., PRIVATE INVESTORS CARTEL LTD., FLEMMING ANDERSON COHEN & LEE INC., J. W. GANT & ASSOCIATES INC., MICHELIN AND COMPANY INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Richard I Balber

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

September 8, 1997 - December 31, 1997

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

April 29, 1996 - November 12, 1997

T.L. GROUP, INC.

CRD#: 22097

FORT WORTH, TX

Past

December 5, 1995 - May 3, 1996

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

July 12, 1993 - December 14, 1995

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

January 6, 1993 - July 14, 1993

J. GREGORY & COMPANY, INC.

CRD#: 14892

Past

November 6, 1992 - December 1, 1992

PRIVATE INVESTORS CARTEL, LTD.

CRD#: 17690

Past

July 14, 1992 - November 9, 1992

FLEMMING, ANDERSON, COHEN & LEE, INC.

CRD#: 23121

LITTLETON, CO

Past

January 2, 1987 - July 27, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

August 25, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

CRD#: 14447

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/12/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/1993

General Securities Principal Examination

Current Firm

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

700 Throckmorton Street, Fort Worth, TX 76102

Mailing Address

700 Throckmorton Street, Fort Worth, TX 76102-5036

Phone number

(817) 877-4256

Established

Texas since 09/24/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SIGNAL ADV BROCHURE 2025 (3/7/2025)

Direct owners and executive officers

Name	Position	CRD#
SINGLETON, IVAN JERRY	EXE CHRM, TREAS, DIR: JOINTLY OWNED W/CARLA WRIGHT	1249354
WRIGHT, CARLA BETH	DIR, CORP SEC: JOINTLY OWNED WITH JERRY SINGLETON	1888192
SNOW, CHRISTOPHER RICHARD	CEO, ROSFP, DIR, MSP	2790759
KORNS, CHASE MARSHALL	CCO	6792936
MENGIS, JANET LEE	CFO

Regulatory assets under management

Total Number of Accounts	1,832
AUM (Assets Under Management)	$ 599,186,467

Disclosures

Regulatory Event	3
Arbitration	2

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.

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Firm Stability Insights

Richard I. Balber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T.L. GROUP, INC.

STONEX SECURITIES INC.

MEYERS POLLOCK ROBBINS, INC.

J. GREGORY & COMPANY, INC.

PRIVATE INVESTORS CARTEL, LTD.

FLEMMING, ANDERSON, COHEN & LEE, INC.

J. W. GANT & ASSOCIATES, INC.

MICHELIN AND COMPANY, INC.

Primary Firm SEC Registration

SIGNAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/1986

Series 7

Date: 8/16/1986

Series 24

Date: 11/1/1993

Current Firm

SIGNAL SECURITIES, INC.

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SIGNAL SECURITIES, INC.

TRUST BUT VERIFY

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