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RB

Roger D. Ballard

Some features on this profile are disabled
CRD#: 2252282
RB

Professional summary

Roger Dean Ballard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Roger had worked at 4 firms, which includes BNY MELLON SECURITIES LLC, NATHAN & LEWIS SECURITIES INC., GUARANTY BROKERAGE SERVICES INC., ESSEX NATIONAL SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 1, 2001 - March 27, 2003

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

June 14, 2000 - October 1, 2001

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

January 31, 1996 - June 14, 2000

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

July 6, 1992 - February 9, 1996

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/1/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BM
BNY MELLON SECURITIES LLC
BNY MELLON SECURITIES LLC | MELLON SECURITIES LLC | MELLON FINANCIAL PLANNING | FUTURESHARE FINANCIAL PLANNING | FUTURESHARE FINANCIAL LLC | FUTURESHARE FINANCIAL DIVISION OF MELLON SECURITIES LLC | DIRECTADVICE | CHASEMELLON FINANCIAL SERVICES L.L.C.

CRD#: 47268 / SEC#: , 8-51710

BD
Terminated by SEC on 04/29/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MELLON INVESTOR SERVICES HOLDINGS LLCMEMBER
DUFFANY, STEPHEN JOHNCHIEF COMPLIANCE OFFICER2535640
DUFFANY, STEPHEN JOHNPRESIDENT & FINOP2535640
SCHWARTZ, ANDREW LEEGENERAL SECURITIES PRINCIPLE4360624

Disclosures

Regulatory Event3
Arbitration2

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.

Company Information

BNY MELLON SECURITIES LLC

CRD#: 47268

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