Kendra R. Ballard

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CRD#: 5605773

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.

Kendra Renae Ballard, CFP®, who also goes by Kendra Ranae Ballard, Kendra Renae Sutherland, was a registered financial professional .

Kendra is a previously registered financial professional and started their career in finance in 2009. Kendra had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kendra Ranae Ballard | Kendra Renae Sutherland

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.

a.the name of the other business: Telluride Foundation b.whether the business is investment-related: No c.the address of the other business: 220 E. Colorado Avenue #106, Telluride, CO 81435 d.the nature of the other business: Non-Profit Organization e.your position: Leadership Council member f.title, or relationship with the other business: Leadership Council Member g.the start date of your relationship: January 2023 h.the approximate number of hours/month you devote to the other business: 1 i.the number of hours you devote to the other business during securities trading hours: 0 j.and briefly describe your duties relating to the other business: meeting with the board to discuss foundation direction, progress and participating on finance committee discussing how the foundation's funds are invested, however I do not make investment recommendations for the foundation. RENTAL | INVESTMENT-RELATED | REAL ESTATE/PROPERTY MANAGEMENT | RENTAL OWNER | 2 HOURS PER MONTH | NONE DURING TRADING HOURS. RENTAL 1 as of 03/2020: 29807 HYW 97, Nucla, CO 81424, RENTAL 2 AS OF 08/2023: 152 E. Main Street, Naturita, CO 81422

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 5393

ENGLEWOOD, CO

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".

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

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.

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: 8/1/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/10/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/4/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/19/2021

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/4/2020

General Securities Sales Supervisor - Options Module Examination

Current Firm

ELLEVEST

ELLEVATE FINANCIAL, INC. | ELLEVEST, INC. | ELLEVEST

CRD#: 175476 / SEC#: 801-106683

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

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Contact information

Main Address

228 Park Ave S Pmb 94934, New York, NY 10003

Mailing Address

228 Park Ave S Pmb 94934, New York, NY 10003-1502

Phone number

(844) 355-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELLEVEST WRAP FEE PROGRAM BROCHURE (3/31/2025)

ELLEVEST INVESTMENT ADVISORY BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 1,012,582,923

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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Advisor Monitoring

Firm Stability Insights

Kendra R. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

SCHWAB WEALTH ADVISORY, INC.

PERSONAL CAPITAL ADVISORS CORPORATION

CHARLES SCHWAB & CO., INC.

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ELLEVEST

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2011

Series 63

Date: 2/10/2009

SIE

Date: 10/1/2018

Series 7

Date: 2/4/2009

Series 10

Date: 1/19/2021

Series 9

Date: 11/4/2020

Current Firm

ELLEVEST

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLEVEST

TRUST BUT VERIFY

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