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Thomas L. Balis

CORNERSTONE PORTFOLIO RESEARCH
Chester Springs, PA
Some features on this profile are disabled
CRD#: 4626837
TB

Professional summary

Thomas L Balis, CFA, who also goes by Thomas Balis, is a registered financial advisor currently at CORNERSTONE PORTFOLIO RESEARCH located in Chester Springs, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Thomas has worked at 3 firms and has passed the Series 6 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Balis

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas L Balis'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®
CFA

Chartered Financial Analyst

Experience

Current

July 16, 2021 - Present

CORNERSTONE PORTFOLIO RESEARCH

RIA
CRD#: 315130
Chester Springs, PA
Past

July 6, 2005 - February 7, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
TIPP CITY, OH
Past

February 6, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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".
CP
CORNERSTONE PORTFOLIO RESEARCH
BALIS ENTERPRISES LLC | CORNERSTONE PORTFOLIO RESEARCH

CRD#: 315130 / SEC#: 801-121634

RIA
Registered Investment Advisory firm - (6/25/2021 Approved)

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
Pennsylvania
(7/16/2021)

Exams

General Industry/Product Exam
RR
Series 6
Date: 2/5/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CP
CORNERSTONE PORTFOLIO RESEARCH
BALIS ENTERPRISES LLC | CORNERSTONE PORTFOLIO RESEARCH

CRD#: 315130 / SEC#: 801-121634

RIA
Registered Investment Advisory firm - (6/25/2021 Approved)
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Contact information

Main Address
Chester Springs, PA
Mailing Address
Phone number
(484) 631-3684
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (6 States and Territories)

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Documents

Latest Form ADV

Part 2 Brochures

DISCLOSURE CORNERSTONE PORTFOLIO RESEARCH (2/18/2025)

Regulatory assets under management

Total Number of Accounts4,995
AUM (Assets Under Management)$ 1,848,592,587

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.

Company Information

CORNERSTONE PORTFOLIO RESEARCH

CRD#: 315130Chester Springs, PA

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