Taryn S. Balthazar
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Taryn S Balthazar, who also goes by Taryn S Bahnazar, was a registered financial professional .
Taryn is a previously registered financial professional and started their career in finance in 2010. Taryn had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2015 - March 8, 2016
SNOWDEN CAPITAL ADVISORS LLC
January 16, 2014 - December 31, 2014
SNOWDEN CAPITAL ADVISORS LLC
January 8, 2014 - March 8, 2016
SNOWDEN ACCOUNT SERVICES LLC
August 11, 2010 - December 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2010 - December 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2010 - March 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SNOWDEN CAPITAL ADVISORS LLC
CRD#: 157299 / SEC#: 801-72332
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SNOWDEN CAPITAL ADVISORS LLC
CRD#: 157299 / SEC#: 801-72332
Contact information
SEC notice filing (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,968 |
| AUM (Assets Under Management) | $ 7,554,762,347 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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