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DB

Daniel S. Ballard

Some features on this profile are disabled
CRD#: 2587524
DB

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.

Daniel Stephen Ballard, who also goes by Dan Ballard, Daniel S Ballard, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Ballard | Daniel S Ballard

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

March 1, 2012 - June 26, 2012

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
CARMEL, IN
Past

March 1, 2012 - June 26, 2012

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
CARMEL, IN
Past

February 25, 2011 - September 29, 2011

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
CARMEL, IN
Past

August 5, 2010 - September 29, 2011

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
CARMEL, IN
Past

October 1, 2008 - May 4, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
MICHIGAN CITY, IN
Past

May 11, 2007 - September 16, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
VALPARAISO, IN
Past

January 19, 2000 - August 14, 2001

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

August 28, 1996 - November 26, 1999

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

February 8, 1995 - August 28, 1996

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

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
IAR
Series 65
Date: 2/24/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/30/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/10/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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