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TB

Timothy C. Ballard

STEEL GROVE CAPITAL ADVISORS
MEMPHIS, TN 38137
Some features on this profile are disabled
CRD#: 2648845
TB

Professional summary

Timothy Clyde Ballard, who also goes by Tim C Ballard, Tim Ballard, Timothy C Ballard, is a registered financial advisor currently at STEEL GROVE CAPITAL ADVISORS, LLC located in Memphis, Tennessee.

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

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tim C Ballard | Tim Ballard | Timothy C 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.
BARBARA T. FBALLARD FAMILY TRUST; INVESTMENT RELATED; 3178 KENNEY DR. GERMANTOWN, TN 38139; TESTAMENTARY TRUST BENEFITTING CLYDE BALLARD; CO-TRUSTEE (ONE OF 3); START DATE 08/07/2015; 0 HOURS DEVOTED PER MONTH; 0 HOURS DEVOTED PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Clyde Ballard's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 5, 2018 - Present

STEEL GROVE CAPITAL ADVISORS, LLC

Office #1: 5100 Poplar Avenue Suite 3100, Memphis, TN 38137
RIA
CRD#: 115231
MEMPHIS, TN
Past

July 27, 2015 - May 4, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
MEMPHIS, TN
Past

October 11, 2012 - August 19, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
MEMPHIS, TN
Past

May 1, 2012 - May 30, 2012

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
MEMPHIS, TN
Past

May 1, 2012 - May 30, 2012

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

March 18, 2004 - April 19, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

March 25, 2002 - April 19, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

July 21, 2000 - March 28, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

August 27, 1999 - July 6, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

November 14, 1995 - August 17, 1999

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

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".
SG
STEEL GROVE CAPITAL ADVISORS, LLC
GREEN SQUARE CAPITAL ADVISORS, LLC | STEEL GROVE CAPITAL ADVISORS, LLC | GREEN SQUARE SECURITIES, LLC | GREEN SQUARE CAPITAL, LLC | GREEN SQUARE CAPITAL MANAGEMENT, LLC

CRD#: 115231 / SEC#: 801-60517

RIA
Registered Investment Advisory firm - (8/24/2001 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.

Highlighted states indicate IAR registrations

IAR
Tennessee
(6/5/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/22/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/1995
General Securities Representative Examination

Current Firm

SG
STEEL GROVE CAPITAL ADVISORS, LLC
GREEN SQUARE CAPITAL ADVISORS, LLC | STEEL GROVE CAPITAL ADVISORS, LLC | GREEN SQUARE SECURITIES, LLC | GREEN SQUARE CAPITAL, LLC | GREEN SQUARE CAPITAL MANAGEMENT, LLC

CRD#: 115231 / SEC#: 801-60517

RIA
Registered Investment Advisory firm - (8/24/2001 Approved)
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Contact information

Main Address
5100 Poplar Avenue Suite 3100, Memphis, TN 38137
Mailing Address
Phone number
(901) 498-6300
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (9 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

FORM ADV PART 2A - DISCLOSURE BROCHURE (6/6/2025)

Regulatory assets under management

Total Number of Accounts878
AUM (Assets Under Management)$ 1,360,070,395

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
05/03/2024
Cover Page
Report
04/30/2023
Cover Page
Report

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

STEEL GROVE CAPITAL ADVISORS, LLC

CRD#: 115231Memphis, TN 38137

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