Howard E. Balliett
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.
Howard Eugene Balliett, who also goes by Gene Balliett, H E Balliett, Howard Balliett, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1987. Howard had worked at 2 firms and has passed the Series 65, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2003 - April 29, 2013
BALLIETT FINANCIAL SERVICES, INC.
December 22, 1987 - June 28, 1988
INVESTOCK & CO., INC.
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
Series 2
Date: 12/28/1988
Non-Member General Securities ExaminationCurrent Firm
BALLIETT FINANCIAL SERVICES, INC.
CRD#: 105284 / SEC#: 801-33677
Contact information
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.
