TARA M. BALABUSHKA
HIGHTOWER SECURITIES | Senior Associate
New York City, NY 10017
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CRD#: 4306497
Professional summary
TARA MARIE BALABUSHKA is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in New York City, New York.
TARA is registered as a RR (Registered Representative) and started their career in finance in 2001. TARA has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Biography
Tara Balabushka is a Senior Associate with Morse, Towey, White & Hoffman at Hightower. She manages a wide variety of daily responsibilities on behalf of the team and its clients, including retirement account distributions, performance reporting, compliance activities, account openings, transfers and general client inquiries and requests.
Tara’s interest in pursuing a career in the financial industry was sparked by her father, who worked as a portfolio manager for a bank. He taught Tara the basics of investing, and a high school/college internship in his office confirmed that she wanted to work in financial services. She graduated from Villanova University, where she majored in finance and minored in Japanese. She later completed an MBA at Fordham University, with concentrations in finance and accounting. Prior to joining the Morse Group at UBS (which later became Morse, Towey & White at Hightower), Tara worked for Spear, Leeds & Kellogg, a specialty trading firm on the New York Stock Exchange.
While she gained valuable knowledge and skills in her first job and enjoyed the fast-paced environment on the NYSE, Tara was interested in a position that focused on the client service aspect of the industry. At Hightower, her academic and practical financial background is well-suited to her multifaceted responsibilities on the team. She excels at providing timely and accurate service that is sensitive to a client’s particular circumstances and preferences, and genuinely enjoys working with the firm’s clients, whether she is preparing a quarterly performance report or assisting with a wire transfer. Tara also appreciates the team’s close-knit and collaborative dynamic.
Tara holds her FINRA Series 4, 7, 55 and 63 licenses.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view TARA MARIE BALABUSHKA'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®
NoneExperience
Current
August 3, 2010 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 300 Madison Avenue 29th Floor, New York City, NY 10017BD
CRD#: 116681
New York City, NY
Past
August 27, 2010 - December 31, 2010
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
NEW YORK, NY
Past
December 14, 2001 - August 16, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
March 22, 2001 - November 29, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
District of Columbia(1/13/2015)
RR
Florida(8/3/2010)
RR
Massachusetts(8/3/2010)
RR
New Jersey(1/13/2015)
RR
New York(8/3/2010)
RR
Virginia(1/13/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/9/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Senior AssociateCRD#: 116681New York City, NY 10017TRUST BUT VERIFY
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Contact information
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