Andrew J. Bala
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.
Andrew John Bala III, who also goes by Andrew Bala, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2015. Andrew had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2018 - November 16, 2018
INTERACTIVE FINANCIAL ADVISORS
February 23, 2016 - November 16, 2018
BROOKLIGHT PLACE SECURITIES, INC.
October 1, 2015 - January 20, 2016
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
INTERACTIVE FINANCIAL ADVISORS
CRD#: 125117 / SEC#: 801-63771
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
INTERACTIVE FINANCIAL ADVISORS
CRD#: 125117 / SEC#: 801-63771
Contact information
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,858 |
| AUM (Assets Under Management) | $ 337,782,613 |
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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