Dominic J. Balzano
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.
Dominic Joseph Balzano was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 1998. Dominic had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2010 - March 3, 2014
J.P. TURNER & COMPANY, L.L.C.
May 17, 2004 - December 31, 2009
SAXONY SECURITIES, INC.
August 29, 2003 - May 20, 2004
ARISTATRADE SECURITIES, LLC
October 23, 2002 - September 27, 2003
MAXIM GROUP LLC
October 29, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
April 23, 1998 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
