Aubrey B. Ballard
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.
Aubrey Brock Ballard, who also goes by Brock Brock Ballard, was a registered financial professional .
Aubrey is a previously registered financial professional and started their career in finance in 2018. Aubrey had worked at 2 firms and has passed the Series 79TO, SIE and Series 79 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2023 - August 12, 2026
CVC FUNDING, LLC
August 21, 2018 - August 24, 2021
GOLDMAN SACHS & CO. LLC
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
Series 79TO
Date: 11/17/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CVC FUNDING, LLC
CRD#: 277056 / SEC#: , 8-69650
Contact information
FINRA licenses (52 States and Territories)
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.
