Brian E. Balsanek
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.
Brian Edward Balsanek was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 9 firms and has passed the Series 65, 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 4, 2010 - October 30, 2015
KALTBAUM CAPITAL MANAGEMENT
March 1, 2007 - December 31, 2010
B. RILEY WEALTH MANAGEMENT
March 1, 2007 - December 31, 2010
B. RILEY WEALTH MANAGEMENT
September 13, 2005 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
April 2, 2004 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
January 20, 2001 - April 12, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 2, 2001 - April 12, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 27, 2000 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
September 29, 1994 - August 1, 2000
JWGENESIS SECURITIES, INC.
April 26, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
January 21, 1993 - April 27, 1994
FAIRCHILD FINANCIAL GROUP, INC.
July 9, 1992 - January 26, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 6, 1992 - July 10, 1992
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
KALTBAUM CAPITAL MANAGEMENT
CRD#: 123991 / SEC#: 801-132465
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
KALTBAUM CAPITAL MANAGEMENT
CRD#: 123991 / SEC#: 801-132465
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 264 |
| AUM (Assets Under Management) | $ 117,979,814 |
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.
