Miriam E. Ballert
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.
Miriam Elizabeth Ballert, who also goes by Miriam E Anderson, Miriam Anderson, was a registered financial professional .
Miriam is a previously registered financial professional and started their career in finance in 1980. Miriam had worked at 9 firms and has passed the Series 63, Series 65, Series 6, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2009 - February 7, 2012
WHV INVESTMENTS, INC.
February 20, 2009 - December 31, 2011
FORESIDE FUNDS DISTRIBUTORS LLC
March 26, 2004 - April 27, 2004
MBSC, LLC
July 17, 2001 - April 16, 2004
BNY MELLON SECURITIES CORPORATION
May 26, 1993 - February 14, 1996
MFS FUND DISTRIBUTORS, INC.
July 17, 1986 - April 20, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 25, 1986 - June 26, 1986
EXETER SECURITIES CORPORATION
September 9, 1985 - March 19, 1986
EXETER SECURITIES CORPORATION
December 24, 1981 - September 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
June 4, 1980 - November 6, 1981
THOMSON MCKINNON SECURITIES INC.
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 1
Date: 5/22/1980
Registered Representative ExaminationCurrent Firm
WHV INVESTMENTS, INC.
CRD#: 107214 / SEC#: 801-46131
Contact information
Red Flags
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