Roy R. Rumbley

BALLAST WEALTH

Birmingham, AL

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CRD#: 4800237

Professional summary

Roy R Rumbley is a registered financial advisor currently at BALLAST WEALTH LLC located in Birmingham, Alabama.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Roy has worked at 6 firms and has passed the Series 66, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy R Rumbley'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

May 14, 2026 - Present

BALLAST WEALTH LLC

RIA

CRD#: 318991

Birmingham, AL

Past

August 11, 2016 - May 14, 2026

GREYBOX INVESTMENTS

RIA

CRD#: 174077

BIRMINGHAM, AL

Past

June 30, 2016 - August 25, 2016

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

August 4, 2009 - August 25, 2016

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

March 11, 2005 - June 30, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

July 23, 2004 - August 4, 2009

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

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

Alabama
(5/14/2026)

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 66

Date: 8/10/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2004

General Securities Representative Examination

Current Firm

BALLAST WEALTH LLC

CRD#: 318991 / SEC#:

Alabama

Registered Investment Advisory firm - (3/24/2022 Approved)

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Contact information

Main Address

Birmingham, AL

Mailing Address

Phone number

(205) 789-5003

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	135
AUM (Assets Under Management)	$ 40,000,000

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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Roy R. Rumbley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy R Rumbley's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALLAST WEALTH LLC

GREYBOX INVESTMENTS

STONEX ADVISORS INC.

STONEX SECURITIES INC.

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2004

SIE

Date: 8/25/2016

Series 7

Date: 7/21/2004

Current Firm

BALLAST WEALTH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BALLAST WEALTH LLC

TRUST BUT VERIFY

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