Garth A. Ballantyne

AUERBACH GRAYSON & COMPANY LLC

NEW YORK, NY 10019

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CRD#: 3034474

Professional summary

Garth Ainslie Ballantyne is a registered financial professional currently at AUERBACH GRAYSON & COMPANY LLC located in New York, New York.

Garth is registered as a RR (Registered Representative) and started their career in finance in 1998. Garth has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Garth Ainslie Ballantyne's 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®

None

Experience

Current

April 19, 2024 - Present

AUERBACH GRAYSON & COMPANY LLC

Office #1: 20w 55th Street 4th Floor, New York, NY 10019

CRD#: 30761

NEW YORK, NY

Past

March 20, 2008 - July 5, 2023

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761

NEW YORK, NY

Past

September 28, 2004 - March 24, 2008

PORTIGON SECURITIES INC.

CRD#: 10050

NEW YORK, NY

Past

September 14, 2000 - September 10, 2004

ODDO BHF NEW YORK CORPORATION

CRD#: 45104

NEW YORK, NY

Past

November 20, 1998 - August 22, 2000

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761

NEW YORK, NY

Past

August 4, 1998 - November 4, 1998

RENCAP SECURITIES, INC.

CRD#: 37821

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(4/19/2024)

Connecticut
(4/19/2024)

Florida
(4/19/2024)

Illinois
(4/9/2025)

Massachusetts
(4/19/2024)

Missouri
(4/19/2024)

New York
(4/19/2024)

Ohio
(4/24/2024)

Texas
(4/19/2024)

Virginia
(4/19/2024)

Exams

State Security Law Exam

Series 63

Date: 8/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/20/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/3/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761 / SEC#: , 8-45136

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

20w 55th Street 4th Floor, New York, NY 10019

Mailing Address

20w 55th Street, New York, NY 10019

Phone number

(212) 557-4444

Established

Delaware since 01/29/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HDH GLOBAL LLC	OWNER
AIKINS, GIL O	CCO / CLO	5157274
BHATNAGAR, NIKHIL	CHIEF EXECUTIVE OFFICER	5874592
HEWITT, MICHAEL THOMAS JR	FINOP	6594844
MANDEL, SIMON MARKOVICH	BOARD MEMBER	5824632
TOKATLILAR, LEON	GLOBAL HEAD OF OPERATIONS	5838809

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.

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Firm Stability Insights

Garth A. Ballantyne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Garth Ainslie Ballantyne's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUERBACH GRAYSON & COMPANY LLC

PORTIGON SECURITIES INC.

ODDO BHF NEW YORK CORPORATION

AUERBACH GRAYSON & COMPANY LLC

RENCAP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/1998

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/20/2005

Series 7

Date: 8/3/1998

Series 24

Date: 3/13/2006

FINRA

Current Firm

AUERBACH GRAYSON & COMPANY LLC

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AUERBACH GRAYSON & COMPANY LLC

TRUST BUT VERIFY

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