Joseph A. Ballard
Professional summary
Joseph Anthony Ballard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Joseph had worked at 6 firms, which includes SMITH BENTON & HUGHES INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, PACIFIC CORTEZ SECURITIES INCORPORATED, LCP CAPITAL CORP., TOLUCA PACIFIC SECURITIES CORP., THE WELLINGTON GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 1997 - June 3, 1997
SMITH, BENTON & HUGHES, INC.
December 11, 1996 - January 9, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
June 11, 1996 - October 24, 1996
PACIFIC CORTEZ SECURITIES INCORPORATED
January 5, 1996 - November 8, 1997
LCP CAPITAL CORP.
November 22, 1995 - January 29, 1996
TOLUCA PACIFIC SECURITIES CORP.
July 13, 1995 - October 23, 1995
THE WELLINGTON GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SMITH, BENTON & HUGHES, INC.
CRD#: 20877 / SEC#: , 8-38535
Contact information
Documents
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