PF
Patrick J. Freund
BALLAST CAPITAL ADVISORS
West Des Moines, IA 50266
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CRD#: 6780980
PF
Professional summary
Patrick Joseph Freund, who also goes by Pat Freund, Patrick Freund, is a registered financial advisor currently at BALLAST CAPITAL ADVISORS, LLC located in West Des Moines, Iowa.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Patrick has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Freund | Patrick Freund
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.
Spire Capital, LLC, 602 NE Westgate Drive, Waukee, Iowa 50263, private investment holdings, Member-Manager since 12/2012 to present, 0 hours per month as currently dormant with no investments.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Joseph Freund'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
April 19, 2017 - Present
BALLAST CAPITAL ADVISORS, LLC
Office #1: 1200 Office Plaza Drive, West Des Moines, IA 50266RIA
CRD#: 282369
West Des Moines, IA
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".
BC
BALLAST CAPITAL ADVISORS, LLC
BALLAST CAPITAL ADVISORS LLC | BALLAST CAPITAL ADVISORS, LLC
CRD#: 282369 / SEC#: 801-120829
RIA
Registered Investment Advisory firm - (4/16/2021 Approved)Illinois
Registered Investment Advisory firm - (10/5/2018 Terminated)Iowa
Registered Investment Advisory firm - (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - (5/4/2021 Terminated)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
Iowa(4/19/2017)
Exams
Current Firm
BC
BALLAST CAPITAL ADVISORS, LLC
BALLAST CAPITAL ADVISORS LLC | BALLAST CAPITAL ADVISORS, LLC
CRD#: 282369 / SEC#: 801-120829
RIA
Registered Investment Advisory firm - (4/16/2021 Approved)Illinois
Registered Investment Advisory firm - (10/5/2018 Terminated)Iowa
Registered Investment Advisory firm - (5/10/2021 Terminated)Texas
Registered Investment Advisory firm - (5/4/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 Office Plaza Drive, West Des Moines, IA 50266
Mailing Address
Phone number
(844) 331-4662
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 150 |
| AUM (Assets Under Management) | $ 318,443,752 |
Red Flags
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Company Information
BALLAST CAPITAL ADVISORS, LLC
CRD#: 282369West Des Moines, IA 50266TRUST BUT VERIFY
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