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Mary Louise Ballin

Mary L. Ballin

PERIGON WEALTH MANAGEMENT
Walnut Creek, CA 94596
Some features on this profile are disabled
CRD#: 2978336
Mary Louise Ballin

Professional summary

Mary Louise Ballin, CFP®, who also goes by Mary Louise Wallis, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Walnut Creek, California.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Mary has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mary Louise Wallis

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) - RIA

Click below to view Mary Louise Ballin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2010

Experience

Current

May 18, 2020 - Present

PERIGON WEALTH MANAGEMENT, LLC

Office #1: 1990 North California Blvd. Suite 612, Walnut Creek, CA 94596
RIA
CRD#: 131037
Walnut Creek, CA
Past

October 11, 2018 - May 12, 2020

WEALTHSPIRE ADVISORS

RIA
CRD#: 110666
SAN FRANCISCO, CA
Past

September 18, 2003 - October 19, 2018

MOSAIC FINANCIAL PARTNERS, INC.

RIA
CRD#: 105180
Walnut Creek, CA
Past

September 7, 1999 - September 5, 2003

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
DENVER, CO
Past

May 26, 1998 - September 5, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS

CRD#: 131037 / SEC#: 801-62988

RIA
Registered Investment Advisory firm - (4/7/2004 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(5/18/2020)
IAR
Texas
(6/16/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/28/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/13/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS

CRD#: 131037 / SEC#: 801-62988

RIA
Registered Investment Advisory firm - (4/7/2004 Approved)
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Contact information

Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PERIGON WRAP FEE PROGRAM BROCHURE (3/28/2025)
PERIGON DISCLOSURE BROCHURE AND PRIVACY POLICY (3/28/2025)

Regulatory assets under management

Total Number of Accounts15,456
AUM (Assets Under Management)$ 8,714,418,958

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2024
Cover Page
Report
10/24/2023
Cover Page
Report

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

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037Walnut Creek, CA 94596

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