EB
Ellis M. Balsam
CARTER & BALSAM ADVISERS
LOS ANGELES, CA 90049
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CRD#: 5860301
EB
Professional summary
Ellis Michael Balsam is a registered financial advisor currently at CARTER & BALSAM ADVISERS located in Los Angeles, California.
Ellis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Ellis has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME - CARTER & BALSAM CPAS; INVESTMENT RELATED - NO; ADDRESS - 825 S GRETNA GREEN WAY # K, LOS ANGELES, CA 90049;
NATURE OF BUSINESS - CERTIFIED PUBLIC ACCOUNTANTS; POSITION - PRESIDENT; START DATE - 04/2001; HOURS PER MONTH - 110; HOURS PER MONTH DURING SECURITIES TRADING HOURS - 110; DUTIES - CPA, ACCOUNTING & TAX.
CRS (Client Relationship Summary) - RIA
Click below to view Ellis Michael Balsam's 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®
NoneExperience
Current
October 27, 2010 - Present
CARTER & BALSAM ADVISERS
Office #1: 825 S Gretna Green Way # K, Los Angeles, CA 90049RIA
CRD#: 127634
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(10/27/2010)
IAR
Texas(3/22/2013)
Current Firm
C&
CARTER & BALSAM ADVISERS
CARTER & BALSAM ADVISERS | JOHN R. CARTER CORPORATION
CRD#: 127634 / SEC#:
California
Registered Investment Advisory firm - (9/19/2003 Approved)Texas
Registered Investment Advisory firm - (3/22/2013 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
825 S Gretna Green Way # K, Los Angeles, CA 90049-5230
Mailing Address
Phone number
(310) 979-5925
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 14,736,794 |
Red Flags
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