Patrick R. Ballard
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.
Patrick Ryan Ballard was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 31 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2015 - September 29, 2017
USAA FINANCIAL ADVISORS, INC.
April 1, 2013 - March 31, 2015
CHARLES SCHWAB & CO., INC.
March 1, 2001 - December 11, 2001
MORGAN STANLEY DW INC.
June 29, 2000 - January 29, 2001
CHARLES SCHWAB & CO., INC.
March 2, 1999 - March 23, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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.
