Dawn M. 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.
Dawn Michelle Ballard, who also goes by Dawn M. Butler, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2001. Dawn had worked at 3 firms and has passed the Series 66, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2009 - March 5, 2014
DETALUS SECURITIES, LLC
January 4, 2006 - March 8, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 31, 2001 - December 31, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
State Registrations and Notice Filings
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Exams
Current Firm
DETALUS SECURITIES, LLC
CRD#: 103260 / SEC#: , 8-52180
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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