Gene D. Balas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gene Douglas Balas, who also goes by Gene Douglas Balas, Gene Balas, was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1987. Gene had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2021 - May 26, 2026
SEIA
February 10, 2014 - December 31, 2020
UNITED CAPITAL FINANCIAL ADVISORS
June 13, 2012 - January 15, 2014
EAST END WEALTH MANAGEMENT
August 1, 2008 - April 9, 2009
ASSETMARK, INC.
July 26, 2006 - July 31, 2008
GENWORTH FINANCIAL ASSET MANAGEMENT, INC
March 29, 2005 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2004 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2001 - October 1, 2004
USI SECURITIES, INC.
August 26, 1998 - June 27, 2001
ADVANTAGE CAPITAL CORPORATION
June 10, 1994 - August 20, 1998
GKN SECURITIES CORP.
March 20, 1990 - June 17, 1994
CIBC WORLD MARKETS CORP.
August 10, 1987 - October 29, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SEIA
CRD#: 108163 / SEC#: 801-56288
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SEIA
CRD#: 108163 / SEC#: 801-56288
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 23,777 |
| AUM (Assets Under Management) | $ 18,726,645,517 |
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.
