Kevin B. Ballou
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.
Kevin Brendan Ballou was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2001 - January 3, 2012
CLARK SECURITIES, INC.
July 11, 2000 - July 2, 2001
CLARK-BARDES SECURITIES, INC.
July 14, 1993 - December 2, 1999
SCHOENKE & ASSOCIATES SECURITIES CORPORATION
February 28, 1991 - May 28, 1993
JOHN HANCOCK DISTRIBUTORS LLC
November 2, 1988 - November 24, 1990
FEDERATION FOR FINANCIAL INDEPENDENCE
State Registrations and Notice Filings
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Exams
Current Firm
CLARK SECURITIES, INC.
CRD#: 43803 / SEC#: , 8-50445
Contact information
Documents
Red Flags
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