John O. 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.
John Olen Ballard, who also goes by John Olen Ballard Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
August 12, 2016 - October 12, 2016
CETERA INVESTMENT ADVISERS LLC
August 4, 2016 - October 12, 2016
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - September 30, 2015
LPL FINANCIAL LLC
October 11, 2011 - September 30, 2015
LPL FINANCIAL LLC
December 1, 2006 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
November 30, 2006 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
November 17, 2005 - December 1, 2006
BB&T INVESTMENT SERVICES, INC.
November 15, 2005 - December 1, 2006
BB&T INVESTMENT SERVICES, INC.
February 22, 2005 - November 10, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
November 4, 2004 - November 9, 2005
AMSOUTH INVESTMENT SERVICES, INC.
January 24, 2002 - November 11, 2002
AFS BROKERAGE, INC.
July 27, 2001 - January 2, 2002
CENTAURUS FINANCIAL, INC.
April 12, 2001 - June 22, 2001
MORGAN KEEGAN & COMPANY, LLC
March 11, 1997 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
October 3, 1991 - November 19, 1996
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
