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Adrian E. Balboa

Some features on this profile are disabled
CRD#: 2941162
AB

Professional summary

Adrian Everardo Balboa was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Adrian is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Adrian had worked at 8 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., J.P. TURNER & COMPANY L.L.C., INTL CUSTODY & CLEARING SOLUTIONS INC., JOSEPH CHARLES & ASSOC. INC., BAXTER BANKS & SMITH LTD., BARRON CHASE SECURITIES INC., TRADEWAY SECURITIES GROUP INC., THE HAMILTON-SHEA GROUP INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 24, 2002 - August 22, 2002

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

April 10, 2001 - December 3, 2001

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

December 11, 2000 - April 30, 2001

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

November 20, 2000 - December 5, 2000

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

December 6, 1999 - November 20, 2000

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

September 8, 1999 - December 22, 1999

BAXTER BANKS & SMITH, LTD.

BD
CRD#: 40771
ST. PETERSBURG, FL
Past

March 10, 1999 - April 1, 1999

BAXTER BANKS & SMITH, LTD.

BD
CRD#: 40771
Past

December 7, 1998 - March 16, 1999

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

July 17, 1998 - August 13, 1998

TRADEWAY SECURITIES GROUP, INC.

BD
CRD#: 29794
CARLSBAD, CA
Past

November 21, 1997 - March 11, 1998

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL

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
RR
Series 63
Date: 1/5/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1997
General Securities Representative Examination

Current Firm

SF
STERLING FINANCIAL INVESTMENT GROUP, INC.
AGORA SECURITIES, INC. | STERLING FINANCIAL INVESTMENT GROUP, INC. | STERLING FINANCIAL INVESTMENT GROUP | MICHAEL SCOTT WEEKS

CRD#: 41506 / SEC#: , 8-49503

BD
Terminated by SEC on 08/22/2006
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/30/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.)COMPANY
GARCIA, CHARLES PATRICKCHIEF EXECUTIVE OFFICER2933864

Disclosures

Regulatory Event8
Arbitration4

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

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

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