Judith M. Balloff
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.
Judith Marie Balloff, who also goes by Judith Marie Ahlstrom, Judith M Balloff, Judith Marie Balloff, Judith Marie Feuk, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1999. Judith had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2017 - January 2, 2024
EAGLE STRATEGIES LLC
May 30, 2017 - January 2, 2024
NYLIFE SECURITIES LLC
May 2, 2013 - May 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2013 - May 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 2011 - May 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2011 - May 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 9, 1999 - April 23, 2007
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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