James S. Ballan
Professional summary
James Stephen Ballan, who also goes by Jim Ballan, is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Stephen Ballan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2025 - Present
BRADLEY WOODS & CO. LTD.
Office #1: 845 Third Ave, Suite 1703, New York, NY 10022April 21, 2015 - May 31, 2016
FS INVESTMENT SOLUTIONS, LLC
September 22, 2009 - September 22, 2011
FM PARTNERS HOLDINGS LLC
October 1, 2008 - December 17, 2008
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 15, 2000 - June 2, 2008
J.P. MORGAN SECURITIES LLC
March 30, 1999 - October 25, 2000
CIBC WORLD MARKETS CORP.
October 18, 1996 - February 26, 1999
LEHMAN BROTHERS INC.
October 24, 1995 - October 3, 1996
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2026)
Exams
Series 82TO
Date: 12/13/2025
Limited Representative-Private Securities OfferingsFINRA
Current Firm
BRADLEY WOODS & CO. LTD.
CRD#: 13660 / SEC#: , 8-28862
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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