Michael Frank Balboa
Professional Summary
Michael Frank Balboa is a registered financial advisor currently at FENIMORE SECURITIES, INC. located in Cobleskill, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
FENIMORE SECURITIES, INC.
Contact Information
Main Address
384 North Grand Street-box 399, Cobleskill, NY 12043Mailing Address
384 North Grand Street - Box 399, Cobleskill, NY 12043Phone Number
(518) 234-7400Established
New York since 05/26/2000Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2016About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Frank Balboa's CRS (Customer Relationship Summary).
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