Buddie C. Ballard

ALPHA CAPITAL MANAGEMENT

Austin, TX 78731

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CRD#: 1580166

Professional summary

Buddie Cloys Ballard JR, who also goes by Buddie Jr Ballard, is a registered financial advisor currently at ALPHA CAPITAL MANAGEMENT located in Austin, Texas.

Buddie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Buddie has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Buddie Jr Ballard

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 Buddie Cloys Ballard JR'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

September 19, 2002 - Present

ALPHA CAPITAL MANAGEMENT

Office #1: 5407 Parkcrest Drive 2nd Floor, Austin, TX 78731

RIA

CRD#: 121703

Austin, TX

Past

November 25, 1998 - September 23, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AUSTIN, TX

Past

November 24, 1998 - September 23, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 11, 1994 - November 18, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 4, 1990 - March 28, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 19, 1990 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

November 6, 1989 - July 9, 1990

MASTERSON MORELAND SAUER WHISMAN, INC.

CRD#: 16815

Past

January 13, 1989 - November 11, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

HOUSTON, TX

Past

July 14, 1987 - January 18, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 24, 1987 - August 25, 1987

NEW ENGLAND SECURITIES

CRD#: 615

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".

ALPHA CAPITAL MANAGEMENT

ALPHA CAPITAL MANAGEMENT | B&T CAPITAL MANAGEMENT, INCORPORATED

CRD#: 121703 / SEC#: 801-61613

RIA

Registered Investment Advisory firm - (11/21/2002 Approved)

Arizona

Registered Investment Advisory firm - (1/2/2003 Terminated)

California

Registered Investment Advisory firm - (11/21/2002 Cancelled)

Connecticut

Registered Investment Advisory firm - (1/10/2003 Terminated)

Florida

Registered Investment Advisory firm - (11/13/2002 Cancelled)

Georgia

Registered Investment Advisory firm - (1/2/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/2/2003 Terminated)

Texas

Registered Investment Advisory firm - (4/1/2004 Terminated)

Virginia

Registered Investment Advisory firm - (1/10/2003 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

Texas
(9/19/2002)

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: 1/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/15/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ALPHA CAPITAL MANAGEMENT

ALPHA CAPITAL MANAGEMENT | B&T CAPITAL MANAGEMENT, INCORPORATED

CRD#: 121703 / SEC#: 801-61613

RIA

Registered Investment Advisory firm - (11/21/2002 Approved)

Arizona

Registered Investment Advisory firm - (1/2/2003 Terminated)

California

Registered Investment Advisory firm - (11/21/2002 Cancelled)

Connecticut

Registered Investment Advisory firm - (1/10/2003 Terminated)

Florida

Registered Investment Advisory firm - (11/13/2002 Cancelled)

Georgia

Registered Investment Advisory firm - (1/2/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/2/2003 Terminated)

Texas

Registered Investment Advisory firm - (4/1/2004 Terminated)

Virginia

Registered Investment Advisory firm - (1/10/2003 Terminated)

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Contact information

Main Address

5407 Parkcrest Drive 2nd Floor, Austin, TX 78731

Mailing Address

Phone number

(512) 322-9318

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALPHA CAPITAL ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,234
AUM (Assets Under Management)	$ 766,253,241

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

Buddie C. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Buddie Cloys Ballard JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

MASTERSON MORELAND SAUER WHISMAN, INC.

UNDERWOOD, NEUHAUS & CO., INCORPORATED

UBS FINANCIAL SERVICES INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ALPHA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/1999

Series 63

Date: 1/12/1987

Series 7

Date: 2/21/1987

Series 8

Date: 4/15/1999

Current Firm

ALPHA CAPITAL MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CAPITAL MANAGEMENT

TRUST BUT VERIFY

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