Michael R. Ballou
Professional summary
Michael R Ballou is a registered financial professional currently at CDX ADVISORS located in West Palm Beach, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael R Ballou's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2016 - Present
CDX ADVISORS
Office #1: 525 Okeechobee Blvd Suite 840, West Palm Beach, FL 33401June 3, 2013 - November 5, 2015
TAP SECURITIES LLC
June 30, 2010 - March 8, 2013
BARCLAYS CAPITAL INC.
December 19, 2005 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/26/2016)
(4/29/2024)
(1/12/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CDX ADVISORS
CRD#: 171500 / SEC#: , 8-69465
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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