RB
Richard J. Ballou
JANNEY MONTGOMERY SCOTT LLC
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 1572301
RB
Professional summary
Richard John Ballou, AIF®, CIMA®, who also goes by Rick Ballou, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Atlanta, Georgia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 14 firms and has passed the Series 66, Series 63, Series 31, SIE, Series 3, Series 7, Series 6, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Ballou
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.
1) Venture 24 LLC; 408 U.S. Route One, York, ME; Not Investment Related; Founder; Consulting Services; Venture 24 has standing consulting agreements with a number of non-securities businesses that could pay a fee and/or an ongoing royalty. The time and compensation is minimal; Compensated. 2) Lucky Mud Club Foundation; 201 E. Kennedy Blvd. Tampa, FL 33602; start date 12/03/2018; Investment committee; I will manage the foundations assets; I am compensated only if we raise enough assets to warrant approved investments; 4hrs/month; 0.30hrs/day; We are setting up a foundation that will be run by an appointed person; Investment-related. 3) Powerflex Select LLC; not investment related; 408 U.S. Route One, York, ME; Skate & Serf E-commerce; Owner/Co-Founder; start date: 11/02/2021; This is a family owned ecommerce business that we are adding on to Powerflex skate and I have partners who are responsible for day to day activities. Business guidance but limited involvement. 4) Knuckies Hoagies, Milton, Georgia; Not Investment Related; Nature: Hoagie franchise; Title/Position: Board of Directors and Investor; Duties: Attend Meetings and develop business relationships in the local business community.
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Ballou's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard John Ballou'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®
Experience
Current
September 11, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Current
September 11, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Past
March 30, 2017 - September 10, 2018
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
ATLANTA, GA
Past
March 29, 2017 - September 10, 2018
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ATLANTA, GA
Past
May 1, 2010 - February 16, 2016
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
BOSTON, MA
Past
May 1, 2010 - February 16, 2016
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
ATLANTA, GA
Past
March 29, 2005 - May 7, 2010
BOFA ADVISORS, LLC
RIA
CRD#: 107900
ATLANTA, GA
Past
April 1, 2003 - March 28, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
RIA
CRD#: 105842
BOSTON, MA
Past
June 3, 2002 - April 1, 2003
STEIN ROE & FARNHAM INCORPORATED
RIA
CRD#: 105847
BOSTON, MA
Past
May 8, 2002 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
ATLANTA, GA
Past
December 31, 2001 - May 22, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
August 14, 2000 - May 22, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 24, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
March 1, 1995 - August 26, 1999
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
January 30, 1995 - March 1, 1995
COLONIAL INVESTMENT SERVICES
BD
CRD#: 25929
Past
December 17, 1990 - February 8, 1995
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
November 8, 1989 - December 17, 1990
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
December 8, 1987 - September 18, 1989
KRUPP SECURITIES CORPORATION
BD
CRD#: 10908
BOSTON, MA
Past
December 5, 1986 - December 2, 1987
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.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
Alabama(9/25/2019)
RR
Arizona(3/3/2025)
RR
Arkansas(9/25/2019)
RR
California(9/11/2018)
RR
Colorado(3/23/2021)
RR
Florida(3/13/2019)
RR
Georgia(9/11/2018)
IAR
Georgia(9/17/2018)
RR
Idaho(4/28/2020)
RR
Illinois(5/29/2020)
RR
Indiana(10/1/2019)
RR
Maryland(9/27/2019)
RR
Massachusetts(9/11/2018)
RR
Michigan(9/27/2019)
RR
Mississippi(9/25/2019)
RR
New Hampshire(7/8/2024)
RR
New Jersey(4/23/2020)
RR
New Mexico(5/28/2020)
RR
New York(9/11/2018)
IAR
North Carolina(9/27/2019)
RR
North Carolina(9/30/2019)
RR
Ohio(9/25/2019)
RR
Pennsylvania(9/26/2019)
RR
Rhode Island(9/27/2019)
RR
South Carolina(9/25/2019)
IAR
South Carolina(4/22/2020)
RR
Tennessee(9/26/2019)
RR
Texas(9/11/2018)
IAR
Texas(9/11/2018)
RR
Virginia(9/25/2019)
RR
West Virginia(4/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
