Tad M. Ballantyne
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.
Tad Mackay Ballantyne, who also goes by Tad Mckay Ballantyne, was a registered financial professional .
Tad is a previously registered financial professional and started their career in finance in 1978. Tad had worked at 4 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 1984 - March 2, 1987
BALLANTYNE & CO.,LTD.
June 21, 1982 - September 28, 1984
UBS FINANCIAL SERVICES INC.
June 15, 1979 - June 17, 1982
BLUNT ELLIS & LOEWI INCORPORATED
June 16, 1978 - January 1, 1979
TRUIST 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: 6/9/1978
Registered Representative ExaminationCurrent Firm
BALLANTYNE & CO.,LTD.
CRD#: 15248 / SEC#: , 8-31903
Contact information
Documents
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.
