John V. Ballard
Professional summary
John Vincent Ballard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, John had worked at 17 firms, which includes GUZMAN & COMPANY, ATLAS ONE FINANCIAL GROUP LLC, IFS SECURITIES, KESTRA INVESTMENT SERVICES LLC, SYNERGY INVESTMENT GROUP LLC, PENSON FINANCIAL SERVICES INC., SAMCO CAPITAL MARKETS INC., STEPHENS, LPL FINANCIAL LLC, STANFORD GROUP COMPANY, NBC CAPITAL MARKETS GROUP INC., ICBA SECURITIES, VINING-SPARKS IBG LLC, MORGAN KEEGAN & COMPANY LLC, INVEST FINANCIAL CORPORATION, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2010 - August 12, 2011
GUZMAN & COMPANY
August 30, 2010 - November 30, 2010
ATLAS ONE FINANCIAL GROUP, LLC
May 27, 2010 - November 17, 2010
IFS SECURITIES
November 21, 2008 - April 22, 2010
KESTRA INVESTMENT SERVICES, LLC
March 23, 2007 - November 24, 2008
SYNERGY INVESTMENT GROUP, LLC
August 15, 2006 - December 20, 2006
PENSON FINANCIAL SERVICES, INC.
May 8, 2006 - February 7, 2007
SAMCO CAPITAL MARKETS, INC.
March 30, 2006 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
September 12, 2005 - October 20, 2005
KESTRA INVESTMENT SERVICES, LLC
March 5, 2004 - September 15, 2005
STEPHENS
August 25, 2003 - January 15, 2004
LPL FINANCIAL LLC
April 30, 2003 - July 16, 2003
STANFORD GROUP COMPANY
January 8, 2003 - April 3, 2003
NBC CAPITAL MARKETS GROUP, INC.
October 29, 2001 - November 2, 2001
ICBA SECURITIES
October 29, 2001 - January 9, 2003
VINING-SPARKS IBG, LLC
October 13, 1999 - November 1, 2001
MORGAN KEEGAN & COMPANY, LLC
August 10, 1998 - June 15, 1999
INVEST FINANCIAL CORPORATION
February 6, 1998 - March 18, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 6, 1998 - March 18, 1998
EQUITABLE ADVISORS, LLC
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
Current Firm
GUZMAN & COMPANY
CRD#: 21013 / SEC#: , 8-38646
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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