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AB

Aubrey B. Ballard

CVC FUNDING
NEW YORK, NY 10153
Some features on this profile are disabled
CRD#: 6990228
AB

Professional summary

Aubrey Brock Ballard, who also goes by Brock Brock Ballard, is a registered financial professional currently at CVC FUNDING, LLC located in New York, New York.

Aubrey is registered as a RR (Registered Representative) and started their career in finance in 2018. Aubrey has worked at 2 firms and has passed the Series 79TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brock Brock Ballard

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 Aubrey Brock Ballard's CRS (Customer Relationship Summary).
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

November 20, 2023 - Present

CVC FUNDING, LLC

Office #1: 767 Fifth Avenue 14th Floor, New York, NY 10153
BD
CRD#: 277056
NEW YORK, NY
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
Series 79TO
Date: 11/17/2023
Investment Banking Registered Representative Examination
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

CF
CVC FUNDING, LLC
CVC CAPITAL MARKETS | CVC FUNDING, LLC | CVC CREDIT PARTNERS 712, LLC

CRD#: 277056 / SEC#: , 8-69650

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
767 Fifth Avenue 14th Floor, New York, NY 10153
Mailing Address
767 Fifth Avenue 14th Floor, New York, NY 10153
Phone number
(212) 506-3858
Established
Delaware since 06/03/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CVC CREDIT PARTNERS, LLCMANAGING MEMBER138528
HASSAN, HUWAIDACHIEF COMPLIANCE OFFICER4991095
RUTITSKIY, DMITRIYFINOP6117665
SQUIRE, ROBERT JOHNCEO/ PRESIDENT6367973

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

CVC FUNDING, LLC

CRD#: 277056New York, NY 10153

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