Robert W. Ballan

RB CAPITAL MANAGEMENT

Reno, NV 89511

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CRD#: 1536058

Professional summary

Robert William Ballan is a registered financial advisor currently at RB CAPITAL MANAGEMENT, LLC located in Reno, Nevada.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Robert William Ballan's CRS (Customer Relationship Summary).

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

January 7, 2016 - Present

RB CAPITAL MANAGEMENT, LLC

Office #1: 5365 Reno Corporate Dr, Suite 200, Reno, NV 89511Office #2: 880 Northwood Boulevard, Suite 2, Incline Village, NV 89451

RIA

CRD#: 125678

Reno, NV

Past

August 4, 2000 - December 31, 2015

RB CAPITAL MANAGEMENT, LLC

RIA

CRD#: 125678

INCLINE VILLAGE, NV

Past

October 12, 1990 - January 14, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

February 24, 1989 - September 4, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 14, 1988 - March 14, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 21, 1987 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 31, 1986 - January 4, 1988

CROWELL, WEEDON & CO.

CRD#: 193

Past

August 19, 1986 - November 13, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/7/2016)

IAR

Nevada
(1/22/2016)

IAR

Texas
(1/7/2016)

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

IAR

Series 65

Date: 5/1/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/19/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Current Firm

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

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Contact information

Main Address

5365 Reno Corporate Dr. Suite 200, Reno, NV 89511

Mailing Address

Phone number

(775) 993-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR CLIENTS NOT PARTICIPATING IN THE WRAP PROGRAM (3/27/2025)

DISCLOSURE DOCUMENT FOR CLIENTS PARTICIPATING IN THE WRAP PROGRAM (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,382
AUM (Assets Under Management)	$ 817,220,998

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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Advisor Monitoring

Firm Stability Insights

Robert W. Ballan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Ballan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RB CAPITAL MANAGEMENT, LLC

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

CROWELL, WEEDON & CO.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

RB CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2000

Series 63

Date: 2/12/1988

Series 3

Date: 8/19/1988

Series 7

Date: 8/16/1986

Current Firm

RB CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RB CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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