Joshua E. Ballard

BLUE OCEAN WEALTH MANAGEMENT

CLEARWATER, FL 33759

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CRD#: 5094224

Professional summary

Joshua Everette Ballard is a registered financial advisor currently at BLUE OCEAN WEALTH MANAGEMENT, LLC located in Clearwater, Florida.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joshua has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 31 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.

Owner; Blue Ocean Wealth Management; Investment Related: Yes; Location: 2454 N McMullen Booth Rd #700, Clearwater FL 33759; Description of the business: I have a Insurance Lic #E052655 that I need to disclose. I do not actively sell any insurance, I simply keep the lic active so that I do not lose it.; Responsibilities Duties: Keep up with the continuing education requirements every 2 years for the state of FL.; Start date with business: 2006-08-06; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Everette Ballard'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

August 25, 2016 - Present

BLUE OCEAN WEALTH MANAGEMENT, LLC

Office #1: 2454 N Mcmullen Booth Rd Suite 700, Clearwater, FL 33759

RIA

CRD#: 284550

CLEARWATER, FL

Past

June 16, 2015 - August 16, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

TAMPA, FL

Past

June 3, 2015 - August 16, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

TAMPA, FL

Past

June 1, 2009 - June 18, 2015

MORGAN STANLEY

RIA

CRD#: 149777

CLEARWATER, FL

Past

June 1, 2009 - June 18, 2015

MORGAN STANLEY

CRD#: 149777

CLEARWATER, FL

Past

May 16, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CLEARWATER, FL

Past

April 14, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CLEARWATER, FL

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

Florida
(8/25/2016)

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: 5/9/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/1/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/17/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/13/2006

General Securities Representative Examination

Current Firm

BLUE OCEAN WEALTH MANAGEMENT, LLC

CRD#: 284550 / SEC#:

Florida

Registered Investment Advisory firm - (8/25/2016 Approved)

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Contact information

Main Address

2454 N Mcmullen Booth Rd Suite 700, Clearwater, FL 33759

Mailing Address

Phone number

(727) 243-3030

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	117
AUM (Assets Under Management)	$ 21,262,341

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

Joshua E. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Everette Ballard's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/9/2006

Series 65

Date: 5/1/2006

SIE

Date: 8/16/2016

Series 31

Date: 11/17/2008

Series 7

Date: 4/13/2006

Current Firm

BLUE OCEAN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLUE OCEAN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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