James D. Ballard
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.
James David Ballard was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2012. James had worked at 12 firms and has passed the SIE and Series 99 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2019 - March 9, 2020
LADENBURG THALMANN & CO. INC.
August 5, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
August 5, 2016 - February 20, 2018
SUMMIT BROKERAGE SERVICES, INC.
August 5, 2016 - February 20, 2018
FIRST ALLIED SECURITIES, INC.
June 1, 2015 - February 20, 2018
CETERA INVESTMENT SERVICES LLC
June 1, 2015 - February 20, 2018
CETERA FINANCIAL SPECIALISTS LLC
June 1, 2015 - February 20, 2018
CETERA ADVISORS LLC
June 1, 2015 - February 20, 2018
CETERA WEALTH SERVICES, LLC
April 24, 2014 - April 21, 2015
WOODBURY FINANCIAL SERVICES, INC.
September 17, 2012 - April 21, 2015
OSAIC SERVICES, INC.
September 17, 2012 - April 21, 2015
OSAIC WEALTH, INC.
September 17, 2012 - April 21, 2015
FSC SECURITIES CORPORATION
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
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
