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BB

Brittany A. Ballou

GREEN PIER FINTECH LLC
Boston, MA 02210
Some features on this profile are disabled
CRD#: 5273207
BB

Professional summary

Brittany Ann Ballou, who also goes by Brittany Ann Ballou, is a registered financial professional currently at GREEN PIER FINTECH LLC located in Boston, Massachusetts.

Brittany is registered as a RR (Registered Representative) and started their career in finance in 2007. Brittany has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brittany Ann Ballou

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 Brittany Ann Ballou'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

May 6, 2022 - Present

GREEN PIER FINTECH LLC

Office #1: 245 Summer Street V3a, Boston, MA 02210
BD
CRD#: 313305
Boston, MA
Past

February 13, 2014 - May 9, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

June 22, 2011 - May 6, 2022

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
SMITHFIELD, RI
Past

October 23, 2009 - June 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WALTHAM, MA
Past

October 23, 2009 - June 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LINCOLN, RI
Past

August 31, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
LINCOLN, RI
Past

September 3, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
LINCOLN, RI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/28/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/26/2022
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GP
GREEN PIER FINTECH LLC
GREEN PIER FINTECH LLC

CRD#: 313305 / SEC#: , 8-70700

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

Main Address
245 Summer Street V3a, Boston, MA 02210
Mailing Address
245 Summer Street V3a, Boston, MA 02210
Phone number
(617) 563-7000
Established
Delaware since 02/05/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
DESJOURDY, BRIANVP STRATEGY2520622
HOLMES, GARYCHIEF COMPLIANCE OFFICER3171812
MORAN, EDWARD MICHAELPRINCIPAL OPERATIONS OFFICER1273715
PRICE, MATTHEWCHIEF EXECUTIVE OFFICER1417511
SMITH, JORDANPRINCIPAL FINANCIAL OFFICER6534026
WEAVER, BRYAN ROBERTCHIEF LEGAL OFFICER2933941

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

GREEN PIER FINTECH LLC

CRD#: 313305Boston, MA 02210

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