Claudia L. Balcom Milks
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.
Claudia Linda Balcom Milks, who also goes by Claudia L Balcom, Claudia Linda Balcom, Claudia L Balcomegeland, Claudia Linda Balcomegeland, Claudia L Balcomengland, Claudia Linda Balcomengland, Claudia Linda Balcommilks, was a registered financial professional .
Claudia is a previously registered financial professional and started their career in finance in 1993. Claudia had worked at 6 firms and has passed the 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
October 21, 2002 - June 10, 2013
FFEC WEALTH PARTNERS LLC
June 9, 1999 - October 24, 2002
PIPER SANDLER & CO.
December 2, 1994 - June 3, 1999
MORGAN STANLEY DW INC.
May 26, 1993 - December 6, 1994
A. G. EDWARDS & SONS, INC.
February 8, 1993 - February 8, 1993
IDS LIFE INSURANCE COMPANY
February 8, 1993 - February 8, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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