Sam D. Balabon
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.
Sam Dan Balabon, who also goes by Sam Daniel Balabon, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1997. Sam had worked at 3 firms and has passed the Series 63, SIE, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2006 - December 31, 2008
INTELLIGENT RESOURCES INC.
January 23, 2006 - September 18, 2019
OKCOIN SECURITIES LLC
September 8, 2003 - December 31, 2004
INTELLIGENT RESOURCES INC.
December 24, 1997 - September 2, 1999
BARRON CHASE 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
Series 62
Date: 12/22/1997
Corporate Securities Limited Representative ExaminationCurrent firm
No current employment
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.
