David R. Ballew
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.
David Robert Ballew, who also goes by Dave Ballew, David Ballew, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2008. David had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2018 - July 29, 2020
AMERICAN EQUITY INVESTMENT CORPORATION
June 24, 2014 - December 31, 2016
CETERA ADVISORS LLC
July 20, 2012 - June 30, 2014
QUESTAR CAPITAL CORPORATION
January 12, 2011 - July 24, 2012
WOODBURY FINANCIAL SERVICES, INC.
July 1, 2008 - February 4, 2011
MSI FINANCIAL SERVICES, INC.
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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
