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CB

Christine M. Balon

Some features on this profile are disabled
CRD#: 2921589
CB

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.

Christine Michelle Balon, who also goes by Christine M Balon, Christine M Graves Irish, Christine Michelle Irish, was a registered financial professional .

Christine is a previously registered financial professional and started their career in finance in 1997. Christine had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christine M Balon | Christine M Graves Irish | Christine Michelle Irish

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 8, 2017 - May 27, 2020

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

BD
CRD#: 8494
ST. PETERSBURG, FL
Past

March 22, 2012 - November 11, 2015

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

BD
CRD#: 128904
TULSA, OK
Past

March 21, 2011 - March 30, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
BEAR, DE
Past

March 21, 2011 - March 30, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
BEAR, DE
Past

September 1, 2009 - January 19, 2011

NYLIFE SECURITIES LLC

BD
CRD#: 5167
KIRKWOOD, DE
Past

October 18, 2006 - September 14, 2009

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LINTHICUM, MD
Past

October 12, 2006 - September 14, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LINTHICUM, MD
Past

July 12, 2005 - December 1, 2005

THE INVESTMENT CENTER, INC.

RIA
CRD#: 17839
KIRKWOOD, DE
Past

July 12, 2005 - December 1, 2005

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
KIRKWOOD, DE
Past

October 20, 2004 - July 6, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CHERRY HILL, NJ
Past

October 20, 2004 - July 6, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

July 29, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
HADDONFIELD, NJ
Past

February 9, 2004 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

April 25, 2003 - October 8, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WILMINGTON, DE
Past

April 25, 2003 - October 8, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 13, 2001 - April 17, 2003

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

August 8, 2000 - March 23, 2001

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

December 7, 1998 - May 18, 2000

MBSC, LLC

BD
CRD#: 42430
NEW YORK, NY
Past

December 1, 1998 - May 18, 2000

DREYFUS INVESTMENT SERVICES COMPANY, LLC

BD
CRD#: 17477
PITTSBURGH, PA
Past

August 22, 1997 - July 9, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/7/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/15/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1997
General Securities Representative Examination

Current Firm

MT
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
FIRST DISCOUNT SECURITIES CORP. | MUTUAL TRUST COMPANY OF AMERICA SECURITIES | MUTUAL TRUST COMPANY OF AMERICA | MUTUAL TRUST CO. OF AMERICA SECURITIES | FIRST FEDERAL SECURITIES, INC.

CRD#: 8494 / SEC#: , 8-25547

BD
Terminated by SEC on 12/13/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/24/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BANDES, JED EPRESIDENT722806
BANDES, JED ECHIEF COMPLIANCE OFFICER722806

Disclosures

Regulatory Event5

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

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

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