Regina M. Ballinger
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.
Regina Marie Ballinger, CFP®, who also goes by Regina Galvin Ballinger, Regina Marie Galvin, Regina Marie Toole, was a registered financial professional .
Regina is a previously registered financial professional and started their career in finance in 2000. Regina had worked at 3 firms and has passed the Series 66, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
November 27, 2002 - December 8, 2022
BALLINGER FINANCIAL SERVICES
March 9, 2002 - May 29, 2002
RBC CAPITAL MARKETS, LLC
December 20, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
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
BALLINGER FINANCIAL SERVICES
CRD#: 128550 / SEC#:
Contact information
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.
