Steven J. Balog
Professional summary
Steven John Balog was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial advisor and started their career in finance in 1978. Prior to being barred, Steven had worked at 7 firms, which includes THE HOUSE OF SECURITIES COMPANY, CETERA ADVISORS LLC, CADARET GRANT & CO. INC., INTEGRATED RESOURCES EQUITY CORPORATION, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2000 - September 13, 2004
THE HOUSE OF SECURITIES COMPANY
December 23, 1996 - September 13, 2004
THE HOUSE OF SECURITIES COMPANY
March 2, 1993 - December 11, 1996
CETERA ADVISORS LLC
January 30, 1989 - November 21, 1990
CADARET, GRANT & CO., INC.
September 21, 1983 - September 26, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 29, 1978 - September 20, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
September 29, 1978 - September 20, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
September 29, 1978 - September 20, 1983
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/26/1978
Registered Representative ExaminationCurrent Firm
THE HOUSE OF SECURITIES COMPANY
CRD#: 2236 / SEC#: , 8-6603
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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