Robert I. Ballon
Professional summary
Robert Ira Ballon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Robert had worked at 5 firms, which includes SICOR SECURITIES INC, LPL FINANCIAL LLC, CALIFORNIA ONE INVESTMENTS, SECURITIES MANAGEMENT & RESEARCH INC., CAPITAL BROKERAGE CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2000 - February 28, 2002
SICOR SECURITIES INC
October 14, 1992 - March 9, 2000
LPL FINANCIAL LLC
June 26, 1991 - October 13, 1992
CALIFORNIA ONE INVESTMENTS
January 9, 1991 - May 3, 1991
SECURITIES MANAGEMENT & RESEARCH, INC.
July 5, 1988 - July 25, 1989
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
SICOR SECURITIES INC
CRD#: 16195 / SEC#: 801-31673, 8-33445
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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