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RG

Richard L. Ganter

BALANZ CAPITAL USA LLC
CORAL GABLES, FL 33134
Some features on this profile are disabled
CRD#: 1528266
RG

Professional summary

Richard Leo Ganter, who also goes by Richard L Ganter, Richard L. Ganter, is a registered financial professional currently at BALANZ CAPITAL USA LLC located in Coral Gables, Florida.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard L Ganter | Richard L. Ganter

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) - BD

Click below to view Richard Leo Ganter's CRS (Customer Relationship Summary).

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

Current

October 3, 2024 - Present

BALANZ CAPITAL USA LLC

Office #1: 2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134
BD
CRD#: 325914
CORAL GABLES, FL
Past

June 17, 2019 - September 26, 2022

SNOWDEN ACCOUNT SERVICES LLC

BD
CRD#: 149794
Coral Gables, FL
Past

March 10, 2017 - June 19, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIAMI, FL
Past

August 1, 2016 - June 19, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

October 10, 2015 - August 1, 2016

VALLEY FINANCIAL MANAGEMENT, INC.

BD
CRD#: 105387
AVENTURA, FL
Past

May 16, 2013 - November 24, 2014

BBVA SECURITIES INC.

BD
CRD#: 27060
MIAMI, FL
Past

August 9, 2012 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
MIAMI, FL
Past

October 27, 2011 - July 10, 2012

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
WEST PALM BEACH, FL
Past

November 10, 2004 - December 2, 2009

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
PALM BEACH, FL
Past

February 11, 2002 - January 15, 2004

UST SECURITIES CORP.

BD
CRD#: 13906
STAMFORD, CT
Past

April 16, 1991 - January 11, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

November 17, 1989 - October 3, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 24, 1989 - June 22, 1989

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

December 9, 1988 - April 19, 1989

AMERIFIRST SECURITIES CORPORATION

BD
CRD#: 10711
Past

April 15, 1988 - June 2, 1988

CAL FED INVESTMENTS

BD
CRD#: 19631
Past

August 6, 1987 - April 19, 1988

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
Past

August 21, 1986 - May 20, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/16/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/8/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/7/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

BC
BALANZ CAPITAL USA LLC
BALANZ CAPITAL | BALANZ CAPITAL USA LLC

CRD#: 325914 / SEC#: , 8-71085

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134
Mailing Address
2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134
Phone number
(786) 687-4066
Established
Florida since 06/06/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BALANZ HOLDINGS US LLCSOLE MEMBER
GANTER, RICHARD LEOMANAGING DIRECTOR, PRESIDENT1528266
GILMAN, ROBERT CRAIGFINOP1738412
GONZALES, PHILIPPE ROGERCCO AMLRO5667179
HAMANA, KERRY SEISHICOO1326963
LUCIER, ALFRED ARTHUR IIMANAGING DIRECTOR, CEO2872941

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

BALANZ CAPITAL USA LLC

CRD#: 325914Coral Gables, FL 33134

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