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AB

Augusto Joel Bravo Ballon

STONEPEAK SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 6682108
AB

Professional summary

Augusto Joel Bravo Ballon, who also goes by Augusto B. Ballon, is a registered financial professional currently at STONEPEAK SECURITIES LLC located in New York, New York.

Augusto Joel is registered as a RR (Registered Representative) and started their career in finance in 2018. Augusto Joel has worked at 3 firms and has passed the SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Augusto B. Ballon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Augusto Joel Bravo Ballon'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®
None

Experience

Current

August 9, 2022 - Present

STONEPEAK SECURITIES LLC

Office #1: 550 W. 34th St 48th Floor, New York, NY 10001
BD
CRD#: 316392
New York, NY
Past

September 28, 2021 - April 29, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
San Francisco, CA
Past

August 21, 2018 - August 24, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/21/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEPEAK SECURITIES LLC
STONEPEAK SECURITIES LLC

CRD#: 316392 / SEC#: , 8-70803

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
550 W. 34th St 48th Floor, New York, NY 10001
Mailing Address
550 W. 34th St 48th Floor, New York, NY 10001
Phone number
(212) 907-5100
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STONEPEAK PARTNERS II LLCGENERAL PARTNER
FORTINO, ANGELINAFINANCIAL AND OPERATIONS PRINCIPAL6869135
MLYNAR, STEVEN BRETTCHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, PRINCIPAL5200474
WALLACH, DOUGLASCEO, SUPERVISORY PRINCIPAL, EXECUTIVE REPRESENTATIVE6649513

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.

Company Information

STONEPEAK SECURITIES LLC

CRD#: 316392New York, NY 10001

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