Brian P. Ballo
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.
Brian Peter Ballo, who also goes by Brian P Ballo, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 5 firms and has passed the Series 66, Series 79TO, SIE 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
March 24, 2020 - October 27, 2023
JUMPSTART SECURITIES, LLC
July 17, 2008 - April 2, 2018
CORPORATE FINANCE SECURITIES, INC.
June 4, 2001 - March 31, 2008
MARV CAPITAL INC.
October 22, 1999 - March 27, 2000
NEWPORT COAST SECURITIES, INC.
September 15, 1997 - March 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
JUMPSTART SECURITIES, LLC
CRD#: 156214 / SEC#: , 8-68773
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINOVATION SYSTEMS, LLC | MEMBER | |
| SELF, JONATHAN ANDREW | PRESIDENT, POO, PFO, AMLCO, CCO | 4497531 |
Disclosures
| Regulatory Event | 1 |
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.
