AB
Andrew S. Ballmann
FINALIS SECURITIES LLC
New York, NY 10003
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CRD#: 7092293
AB
Professional summary
Andrew Scott Ballmann, who also goes by Andrew Ballmann, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2019. Andrew has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Ballmann
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.
1)04/29/2022 - Householder Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location 2)04/29/2022 - PEA POD ONE, LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - One Valley, AZ - Start: 06/2017 - 2 Hr/Mth 3) 05/26/2022 - Householder Group Estate & Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR/Financial Advisor - Start Date - 4/29/2022 - 120 Hours Per Month/ 6 Hours During Securities Trading - I provide investment advisory services through Householder Group Estate & Retirement Partners, an independent investment advisor firm. I started this business activity in 4/2022. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4)1/24/2023 - ECA & SBG - Investment Related - Home Based - Non-Variable Insurance - Insurance Agent - Start Date - 01/01/2023 - 10 Hours Per Month/10 Hours During Securities Trading
CRS (Client Relationship Summary) - BD
Click below to view Andrew Scott Ballmann'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, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003BD
CRD#: 305908
New York, NY
Past
May 2, 2022 - April 21, 2023
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
Tucson, AZ
Past
April 29, 2022 - April 28, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
TUCSON, AZ
Past
July 3, 2019 - May 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TUCSON, AZ
Past
May 31, 2019 - May 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TUCSON, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/31/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
228 Park Ave South Suite 85550, New York, NY 10003
Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003
Phone number
(800) 962-0418
Established
Delaware since 09/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
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.
