Donald L. Balla
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.
Donald Louis Balla JR, who also goes by Don Balla, Donald Louis Balla, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1993. Donald had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2013 - November 14, 2017
ALLEGHENY INVESTMENTS, LTD.
August 2, 2011 - April 16, 2013
CETERA WEALTH SERVICES, LLC
June 25, 2009 - August 4, 2011
INVEST FINANCIAL CORPORATION
October 8, 2008 - March 13, 2009
AMERITAS INVESTMENT COMPANY, LLC
September 23, 2005 - November 5, 2007
ALLEGHENY INVESTMENTS, LTD.
April 9, 2001 - July 12, 2005
AMERITAS INVESTMENT COMPANY, LLC
January 12, 2001 - April 10, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 7, 1994 - March 21, 1995
PNC BROKERAGE CORP
August 10, 1993 - June 21, 1994
ROBERT W. BAIRD & CO. INCORPORATED
August 10, 1993 - June 21, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 1993 - June 24, 1993
PFS INVESTMENTS INC.
Primary Firm SEC Registration
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
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
ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,990 |
| AUM (Assets Under Management) | $ 633,814,776 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 10/22/2024 | ||
| 08/11/2023 | ||
| 10/08/2022 |
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.
