SB
Steven M. Ballantyne
STRATEGIC ADVISERS LLC
FARMINGTON, UT
Some features on this profile are disabled
CRD#: 2641076
SB
Professional summary
Steven Mark Ballantyne, CFP®, who also goes by Steven Mark Ballantyne, Steven M Ballantyne, Steven Ballantyne, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Farmington, Utah and FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Mark Ballantyne | Steven M Ballantyne | Steven Ballantyne
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.
OBA-9452|OrgNmn:Farmington Parks & Recreation|Org Addr:Farmington,Utah,US|OBA Nature:Recreation activities|Invst Rel:N|Title:Umpire|Duties:Umpire baseball games|StrtDt:04-16-18|TotHrs/mon:10|TrdHrs/mon:0|OBA-9515|OrgNmn:Utah High School Atheltic Assoc (UHSAA)|Org Addr:Farmington,Utah,US|OBA Nature:High School Sports|Invst Rel:N|Title:Umpire|Duties:Baseball umpire for high school baseball games.|StrtDt:04-23-18|TotHrs/mon:8|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Steven Mark Ballantyne'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®
Experience
Current
May 22, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 49 North 400 West, Salt Lake City, UT 84101RIA
CRD#: 104555
FARMINGTON, UT
Current
May 13, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
July 19, 2024 - April 23, 2025
EDWARD JONES
RIA
CRD#: 250
BOUNTIFUL, UT
Past
July 19, 2024 - April 23, 2025
EDWARD JONES
BD
CRD#: 250
BOUNTIFUL, UT
Past
July 13, 2018 - July 5, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
May 13, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SALT LAKE CITY, UT
Past
May 6, 2013 - July 5, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
February 9, 2012 - April 22, 2013
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SOUTH JORDAN, UT
Past
February 3, 2012 - April 22, 2013
OSAIC WEALTH, INC.
BD
CRD#: 23131
SOUTH JORDAN, UT
Past
April 12, 2005 - February 6, 2012
FIRST WESTERN ADVISORS
RIA
CRD#: 13623
HOLLADAY, UT
Past
April 11, 2005 - February 6, 2012
FIRST WESTERN ADVISORS
BD
CRD#: 13623
HOLLADAY, UT
Past
May 28, 2003 - April 11, 2005
TD AMERITRADE, INC.
RIA
CRD#: 7870
SALT LAKE CITY, UT
Past
April 15, 1999 - April 11, 2005
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
April 7, 1998 - April 8, 1999
FIRST SECURITY CAPITAL MARKETS, INC.
BD
CRD#: 44354
SALT LAKE CITY, UT
Past
March 10, 1998 - April 8, 1998
FIRST SECURITY INVESTOR SERVICES, INC.
BD
CRD#: 15515
SALT LAKE CITY, UT
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/13/2025)
RR
Alaska(5/13/2025)
RR
Arizona(5/13/2025)
RR
Arkansas(5/13/2025)
RR
California(5/13/2025)
RR
Colorado(5/13/2025)
RR
Connecticut(5/13/2025)
RR
Delaware(5/13/2025)
RR
District of Columbia(5/13/2025)
RR
Florida(5/13/2025)
RR
Georgia(5/13/2025)
RR
Hawaii(5/13/2025)
RR
Idaho(5/13/2025)
RR
Illinois(5/13/2025)
RR
Indiana(5/13/2025)
RR
Iowa(5/13/2025)
RR
Kansas(5/13/2025)
RR
Kentucky(5/13/2025)
RR
Louisiana(5/13/2025)
RR
Maine(5/13/2025)
RR
Maryland(5/13/2025)
RR
Massachusetts(5/13/2025)
RR
Michigan(5/13/2025)
RR
Minnesota(5/13/2025)
RR
Mississippi(5/13/2025)
RR
Missouri(5/13/2025)
RR
Montana(5/13/2025)
RR
Nebraska(5/13/2025)
RR
Nevada(5/13/2025)
RR
New Hampshire(5/13/2025)
RR
New Jersey(5/13/2025)
RR
New Mexico(5/13/2025)
RR
New York(5/13/2025)
RR
North Carolina(5/13/2025)
RR
North Dakota(5/13/2025)
RR
Ohio(5/13/2025)
RR
Oklahoma(5/13/2025)
RR
Oregon(5/13/2025)
RR
Pennsylvania(5/13/2025)
RR
Puerto Rico(5/13/2025)
RR
Rhode Island(5/13/2025)
RR
South Carolina(5/13/2025)
RR
South Dakota(5/13/2025)
RR
Tennessee(5/13/2025)
RR
Texas(5/13/2025)
IAR
Texas(5/22/2025)
RR
Utah(5/13/2025)
IAR
Utah(5/27/2025)
RR
Vermont(5/13/2025)
RR
Virgin Islands(5/13/2025)
RR
Virginia(5/13/2025)
RR
Washington(5/13/2025)
RR
West Virginia(5/13/2025)
RR
Wisconsin(5/13/2025)
RR
Wyoming(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
