Sean R. Balog

PROCESS DESIGN CAPITAL MANAGEMENT LLC

Phoenix, AZ 85020

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CRD#: 2634686

Professional summary

Sean Robert Balog, AIF® is a registered financial advisor currently at PROCESS DESIGN CAPITAL MANAGEMENT LLC located in Phoenix, Arizona.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Sean has worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

BOARD OF DIRECTORS OF THE CLEAR LIGHT BUDDHIST CENTER; NOT INVESTMENT RELATED; THE ORGANIZATION PROVIDES INSTRUCTION IN MEDITATION AND BUDDHIST SPIRITUAL PRACTICE;15 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Robert Balog's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 20, 2014 - Present

PROCESS DESIGN CAPITAL MANAGEMENT LLC

Office #1: 7301 N. 16th St #102, Phoenix, AZ 85020

RIA

CRD#: 170789

Phoenix, AZ

Past

August 17, 2012 - July 22, 2014

VORA WEALTH MANAGEMENT, PLLC

RIA

CRD#: 153559

SCOTTSDALE, AZ

Past

August 1, 2005 - July 31, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SCOTTSDALE, AZ

Past

July 1, 2003 - July 31, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SCOTTSDALE, AZ

Past

September 22, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 18, 1997 - September 11, 1998

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

July 13, 1995 - February 18, 1997

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/20/2014)

IAR

California
(6/10/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/9/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/11/1995

General Securities Representative Examination

Current Firm

PROCESS DESIGN CAPITAL MANAGEMENT LLC

GARBER, JAMES M | PROCESS DESIGN CAPITAL MANAGEMENT LLC

CRD#: 170789 / SEC#:

Arizona

Registered Investment Advisory firm - (5/20/2014 Approved)

California

Registered Investment Advisory firm - (6/10/2022 Approved)

Minnesota

Registered Investment Advisory firm - (4/19/2017 Approved)

Texas

Registered Investment Advisory firm - (7/10/2014 Conditional Restricted)

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Contact information

Main Address

7301 N. 16th St #102, Phoenix, AZ 85020

Mailing Address

Phone number

(480) 386-0491

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 92,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Sean R. Balog

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Robert Balog's CRS (Customer Relationship Summary).

Certified licenses

Experience

VORA WEALTH MANAGEMENT, PLLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

DONALD & CO. SECURITIES INC.

DICKINSON & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/1998

Series 63

Date: 7/7/1995

Series 31

Date: 3/9/2005

Series 7

Date: 7/11/1995

Current Firm

PROCESS DESIGN CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROCESS DESIGN CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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