James S. Ballan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Stephen Ballan, who also goes by Jim Ballan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 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
Exams
Current Firm
FS INVESTMENT SOLUTIONS, LLC
CRD#: 145244 / SEC#: , 8-67718
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FRANKLIN SQUARE HOLDINGS, LP | SOLE MEMBER OF FS INVESTMENT SOLUTIONS, LLC | |
| DETWILER, ELIZABETH CAMILLA | GENERAL COUNSEL, PRINICIPAL OPERATIONS OFFICER | 4361137 |
| GAGLIOTI, ENRICO SALVATORE | PRESIDENT | 2649966 |
| PAGNOTTA, CHRISTOPHER VINCENT | CHIEF COMPLIANCE OFFICER | 4418522 |
| SCARPATI, GERARD | FINOP/CFO, PFO | 2313132 |
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.
