Andrew J. Mescon

BALLAST ROCK PRIVATE WEALTH

Charleston, SC 29403

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CRD#: 4396288

Professional summary

Andrew James Mescon, who also goes by Andrew J Mescon, is a registered financial advisor currently at BALLAST ROCK PRIVATE WEALTH located in Charleston, South Carolina.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Andrew has worked at 4 firms and has passed the Series 65, Series 66, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew J Mescon

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.

SOLE PROPREITOR APPOINTED WITH MULTIPLE CARRIERS AS INDEPENDENT LIFE INSURANCE PRODUCER. FULL TIME POSITION. PRODUCTS SOLD INCLUDE LIFE INSURANCE AND FIXED ANNUITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Mescon's CRS (Customer Relationship Summary).

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

September 9, 2022 - Present

BALLAST ROCK PRIVATE WEALTH

Office #1: 460 King Street Suite 200, Charleston, SC 29403

RIA

CRD#: 322064

Charleston, SC

Past

June 3, 2013 - September 1, 2022

INTEGRITY FINANCIAL CORPORATION

RIA

CRD#: 137125

MANHATTAN BEACH, CA

Past

December 12, 2012 - May 6, 2013

MOSAIC CAPITAL SECURITIES, LLC

CRD#: 106637

LOS ANGELES, CA

Past

April 5, 2002 - August 13, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

September 25, 2001 - August 13, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BALLAST ROCK PRIVATE WEALTH

BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC

CRD#: 322064 / SEC#: 801-129645

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

South Carolina

Registered Investment Advisory firm - (3/20/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(6/18/2025)

IAR

South Carolina
(6/18/2025)

IAR

Texas
(11/4/2022)

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: 6/1/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/10/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79

Date: 12/11/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/22/2001

General Securities Representative Examination

Current Firm

BALLAST ROCK PRIVATE WEALTH

BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC

CRD#: 322064 / SEC#: 801-129645

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

South Carolina

Registered Investment Advisory firm - (3/20/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2024 Terminated)

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Contact information

Main Address

460 King Street Suite 200, Charleston, SC 29403

Mailing Address

Phone number

(800) 204-2513

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - BALLAST ROCK PRIVATE WEALTH LLC (3/14/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 238,200,333

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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Advisor Monitoring

Firm Stability Insights

Andrew J. Mescon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Mescon's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY FINANCIAL CORPORATION

MOSAIC CAPITAL SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

BALLAST ROCK PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2013

Series 66

Date: 2/10/2002

Series 79

Date: 12/11/2012

Series 7

Date: 9/22/2001

Current Firm

BALLAST ROCK PRIVATE WEALTH

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALLAST ROCK PRIVATE WEALTH

TRUST BUT VERIFY

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