Andrew G. Ballou
Professional summary
Andrew Gornell Ballou, who also goes by Andy Ballou, Andrew Gornell Ballu, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in East Amherst, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1993. Andrew has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Gornell Ballou's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2025 - Present
FOUR POINTS CAPITAL PARTNERS LLC
May 1, 2019 - November 19, 2019
FIG PARTNERS, LLC
May 9, 2016 - November 19, 2019
JANNEY MONTGOMERY SCOTT LLC
February 29, 2008 - February 24, 2016
RBC CAPITAL MARKETS, LLC
October 29, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 22, 2002 - November 2, 2004
RBC CAPITAL MARKETS, LLC
March 9, 1999 - January 24, 2001
CIBC WORLD MARKETS CORP.
February 1, 1997 - November 4, 1998
CREDIT SUISSE SECURITIES (USA) LLC
January 6, 1994 - January 29, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 1993 - November 24, 1993
PRUDENTIAL EQUITY GROUP, 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
Series 7TO
Date: 9/17/2025
General Securities Representative ExaminationFINRA
Current Firm
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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