Brett A. Balch
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.
Brett Alan Balch was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1996. Brett had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2019 - July 7, 2021
THE LEADERS GROUP, INC.
January 3, 2011 - October 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2001 - September 23, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 2, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 17, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
July 3, 1996 - January 11, 2000
WALNUT STREET SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
