Shana L. Ballard

MISSION CREEK CAPITAL PARTNERS

San Francisco, CA 94105

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CRD#: 5195706

Professional summary

Shana Lesch Ballard, CFP®, who also goes by Shana L Lesch, Shana Leann Lesch, Shana Lesch, is a registered financial advisor currently at MISSION CREEK CAPITAL PARTNERS, INC. located in San Francisco, California.

Shana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Shana has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shana L Lesch | Shana Leann Lesch | Shana Lesch

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.

I*2058287, Entity Type, Entity for Profit, Name of OBA: Poppy Flowers (Your Poppy, Inc. is the legal name), Address: Washington, DC, 20003, Investment Related: No, Position, Title, Association: Consultant/Independent Contractor, Employee Start Date: 11/13/2024, No Hours: 10hrs/Mo, No Hours during trading: 0, Duties: Discount wedding floral design company employing contractor designers for wedding florals across the US. I will be part of the design network (W9 employee) doing one-off weddings periodically to occur only on the weekends (or evenings after my Merrill Lynch work hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shana Lesch Ballard'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

May 14, 2025 - Present

MISSION CREEK CAPITAL PARTNERS, INC.

Office #1: 101 Mission Street, Suite 1750, San Francisco, CA 94105

RIA

CRD#: 151514

San Francisco, CA

Past

September 25, 2021 - April 29, 2025

CRD#: 6363

SAN FRANCISCO, CA

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".

MISSION CREEK CAPITAL PARTNERS, INC.

CARA CAPITAL PARTNERS | MISSION CREEK CAPITAL PARTNERS, INC. | CARA CAPITAL PARTNERS, INC

CRD#: 151514 / SEC#: 801-112835

RIA

Registered Investment Advisory firm - (4/16/2018 Approved)

California

Registered Investment Advisory firm - (4/15/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(5/14/2025)

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: 4/5/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/24/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2006

General Securities Representative Examination

Current Firm

MISSION CREEK CAPITAL PARTNERS, INC.

CARA CAPITAL PARTNERS | MISSION CREEK CAPITAL PARTNERS, INC. | CARA CAPITAL PARTNERS, INC

CRD#: 151514 / SEC#: 801-112835

RIA

Registered Investment Advisory firm - (4/16/2018 Approved)

California

Registered Investment Advisory firm - (4/15/2018 Terminated)

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Contact information

Main Address

101 Mission Street, Suite 1750, San Francisco, CA 94105

Mailing Address

Phone number

(415) 363-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MISSION_CREEK_ADV_PART_2A_03_2024 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,343
AUM (Assets Under Management)	$ 630,446,566

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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Firm Stability Insights

Shana L. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shana Lesch Ballard's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BRIO FINANCIAL GROUP

EP WEALTH ADVISORS

PERSONAL FINANCIAL CONSULTANTS SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MISSION CREEK CAPITAL PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2022

Series 7TO

Date: 9/24/2021

SIE

Date: 4/11/2018

Series 7

Date: 10/16/2006

Current Firm

MISSION CREEK CAPITAL PARTNERS, INC.

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION CREEK CAPITAL PARTNERS, INC.

TRUST BUT VERIFY

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