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AB

Andrew S. Ballentine

NELSON IVEST BROKERAGE SERVICES
WINTER PARK, FL 32789-2968
CRD#: 4683797
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AB
Andrew Steven BallentineNELSON IVEST BROKERAGE SERVICES

Professional summary

Andrew Steven Ballentine is a registered financial professional currently at NELSON IVEST BROKERAGE SERVICES, INC. located in Winter Park, Florida.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2003. Andrew has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Steven Ballentine'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 15, 2009 - Present

NELSON IVEST BROKERAGE SERVICES, INC.

Office #1: 423 Country Club Drive, Winter Park, FL 32789-2968
BD
CRD#: 3002
WINTER PARK, FL
Past

October 31, 2007 - September 16, 2009

LINCOLN INVESTMENT

RIA
CRD#: 519
LONGWOOD, FL
Past

October 23, 2007 - September 16, 2009

LINCOLN INVESTMENT

BD
CRD#: 519
LONGWOOD, FL
Past

December 14, 2006 - April 30, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
HEATHROW, FL
Past

December 12, 2006 - April 30, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
HEATHROW, FL
Past

May 1, 2006 - December 12, 2006

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
OVIEDO, FL
Past

April 28, 2006 - December 12, 2006

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

June 29, 2005 - March 31, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
WINTER PARK, FL
Past

March 3, 2005 - March 31, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
WINTER PARK, FL
Past

January 23, 2004 - March 17, 2005

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
GAINESVILLE, FL
Past

October 17, 2003 - March 17, 2005

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

July 31, 2003 - October 15, 2003

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
CINCINNATI, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/15/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/13/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/30/2003
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NI
NELSON IVEST BROKERAGE SERVICES, INC.
NELSON IVEST BROKERAGE SERVICES, INC. | PENINSULAR INVESTMENTS OF TREASURE ISLAND, INC. | PENINSULAR INVESTMENTS

CRD#: 3002 / SEC#: , 8-26448

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
423 Country Club Drive, Winter Park, FL 32789-2968
Mailing Address
423 Country Club Drive, Winter Park, FL 32789-2968
Phone number
(407) 629-6477
Established
Florida since 04/30/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JACK EWALD NELSON TRUSTOWNER
GARRIS, JOEL JIMMYPRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP3142942
NELSON, JUNE HTRUSTEE2083354

Disclosures

Regulatory Event2

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

NELSON IVEST BROKERAGE SERVICES, INC.

CRD#: 3002Winter Park, FL 32789-2968

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