John V. Boardman

BALLAST

Lexington, KY 40507

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CRD#: 4595652

Professional summary

John Valentine Boardman III, CFP®, who also goes by John Valentine Boardman, is a registered financial advisor currently at BALLAST, INC. located in Lexington, Kentucky.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. John has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Valentine Boardman

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.

1. -INSURANCE AGENT; LEXINGTON, KY; FIXED INSURANCE/INCLUDES EQUITY INDEXES; SVC. DESCRIPTION: INSURANCE (FIXED ON LIFE); SOLE PROPRIETORSHIP; START DATE: 1/1/2008; TITLE: AGENT; DUTIES: AGENT; 5% TIME SPENT. 2. - Markey Cancer Foundation, Investment related: No, 115 Waller Ave, Ste 204, Lexington, KY, 40503, Non-profit foundation for cancer hospital, Board Member, 12/15/2020, 8 hours per year for meetings, misc. hours for events etc. Serve on board, help raise charitable dollars. 3. - Idle Hour Country Club, Board of Governors and Executive Committee Member and Treasurer. Discuss on and vote on operational and investment matters. 4. - A member of The Lexington School Endowment Committee. The Committee hires outside consultants and managers to manage funds or select the investments. We monitor the outside consultants and managers performance and report back to the Board.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Valentine Boardman III'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

April 12, 2010 - Present

BALLAST, INC.

Office #1: 400 East Vine St Suite 400, Lexington, KY 40507

RIA

CRD#: 152695

Lexington, KY

Past

March 15, 2010 - September 8, 2021

APW CAPITAL, INC.

CRD#: 43814

LEXINGTON, KY

Past

June 30, 2005 - March 22, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEXINGTON, KY

Past

June 30, 2005 - March 22, 2010

LPL FINANCIAL LLC

CRD#: 6413

LEXINGTON, KY

Past

May 14, 2004 - June 13, 2005

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

March 18, 2004 - June 13, 2005

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTE, NC

Past

October 16, 2002 - March 18, 2004

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

LEXINGTON, KY

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, INC.

BALLAST, INC. | BOARDMAN WEALTH PLANNING, INC.

CRD#: 152695 / SEC#: 801-79651

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

Ohio

Registered Investment Advisory firm - (6/30/2014 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

Kentucky
(4/12/2010)

IAR

Ohio
(3/2/2012)

IAR

Texas
(4/21/2020)

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

Series 63

Date: 6/30/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/1/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/28/2005

General Securities Principal Examination

Current Firm

BALLAST, INC.

BALLAST, INC. | BOARDMAN WEALTH PLANNING, INC.

CRD#: 152695 / SEC#: 801-79651

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Kentucky

Registered Investment Advisory firm - (7/2/2014 Terminated)

Ohio

Registered Investment Advisory firm - (6/30/2014 Terminated)

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Contact information

Main Address

400 East Vine St Suite 400, Lexington, KY 40507

Mailing Address

Phone number

(859) 226-0625

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BALLAST, INC ADV PART 2A BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	1,798
AUM (Assets Under Management)	$ 625,203,027

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

John V. Boardman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Valentine Boardman III's CRS (Customer Relationship Summary).

Certified licenses

Experience

APW CAPITAL, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

BALLAST, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/2004

Series 65

Date: 10/1/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/13/2004

Series 24

Date: 9/28/2005

Current Firm

BALLAST, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALLAST, INC.

TRUST BUT VERIFY

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