Carl N. Ballard

C2 INVESTMENT GROUP

Mooresville, NC 28117

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CRD#: 4316614

Professional summary

Carl Norman Ballard is a registered financial advisor currently at C2 INVESTMENT GROUP located in Mooresville, North Carolina.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Carl has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

CONSULTANT FOR C2, LLC DBA TRACKER WHICH HAS A PRODUCT CALLED TRACKER: A PORTFOLIO ACCOUNTING AND REPORTING APPLICATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Norman Ballard'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®

None

Experience

Current

April 10, 2006 - Present

C2 INVESTMENT GROUP

Office #1: 106 Langtree Village Drive Suite 301, Mooresville, NC 28117

RIA

CRD#: 119473

Mooresville, NC

Past

July 10, 2002 - September 25, 2002

C2 INVESTMENT GROUP

RIA

CRD#: 119473

CORNELIUS, NC

Past

February 22, 2001 - July 11, 2006

ABSHIER WEBB DONNELLY & BAKER, INC.

CRD#: 104051

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/10/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/5/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/21/2001

General Securities Representative Examination

Current Firm

C2 INVESTMENT GROUP

C2 INVESTMENT GROUP | NATIONAL ARBITRAGE MANAGEMENT

CRD#: 119473 / SEC#:

North Carolina

Registered Investment Advisory firm - (12/31/2001 Approved)

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Contact information

Main Address

106 Langtree Village Drive Suite 301, Mooresville, NC 28117

Mailing Address

Po Box 2505, Cornelius, NC 28031

Phone number

(888) 327-1422

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Carl N. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Norman Ballard's CRS (Customer Relationship Summary).

Certified licenses

Experience

C2 INVESTMENT GROUP

C2 INVESTMENT GROUP

ABSHIER WEBB DONNELLY & BAKER, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2001

Series 63

Date: 6/14/2001

Series 7

Date: 2/21/2001

Current Firm

C2 INVESTMENT GROUP

Contact information

Documents

Red Flags

Company Information

C2 INVESTMENT GROUP

TRUST BUT VERIFY

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