Alyssa A. Ballin
Professional summary
Alyssa Ann Ballin is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.
Alyssa is registered as a RR (Registered Representative) and started their career in finance in 2007. Alyssa has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alyssa Ann Ballin's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 8, 2016 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: One Freedom Valley Drive, Oaks, PA 19456May 11, 2012 - December 5, 2016
FORESIDE FUND SERVICES, LLC
December 20, 2007 - May 11, 2012
QUASAR DISTRIBUTORS, 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
(12/8/2016)
Exams
FINRA
Current Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
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.
