John E. Bala
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.
John Edward Bala was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 4 firms and has passed the Series 66, Series 63 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
May 23, 2016 - February 5, 2021
RAIN CAPITAL MANAGEMENT
June 17, 2009 - May 5, 2016
SIGMA INVESTMENT MANAGEMENT COMPANY
December 6, 2007 - June 2, 2009
CONFLUENCE WEALTH MANAGEMENT LLC
December 12, 2002 - August 4, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 27, 2002 - August 4, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RAIN CAPITAL MANAGEMENT
CRD#: 158996 / SEC#: 801-72744
Contact information
Regulatory assets under management
| Total Number of Accounts | 681 |
| AUM (Assets Under Management) | $ 379,000,000 |
Red Flags
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