Lambros D. Ballas
Professional summary
Lambros Dennis Ballas was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lambros is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Lambros had worked at 5 firms, which includes GLOBAL ARENA CAPITAL CORP, CLARK DODGE & CO. INC., GUNNALLEN FINANCIAL INC, PARK AVENUE SECURITIES LLC, CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2009 - October 27, 2009
GLOBAL ARENA CAPITAL CORP
December 1, 2008 - May 29, 2009
CLARK DODGE & CO., INC.
September 5, 2008 - December 10, 2008
GUNNALLEN FINANCIAL, INC
January 28, 2005 - October 5, 2007
GUNNALLEN FINANCIAL, INC
January 2, 2002 - March 11, 2003
PARK AVENUE SECURITIES LLC
December 7, 1999 - October 15, 2001
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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