Joseph A. Ballarino
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.
Joseph Anthony Ballarino was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1979. Joseph had worked at 5 firms and has passed the Series 63, Series 7 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
March 2, 1998 - December 31, 2004
FS GROUP ADVISORY,INC.
February 1, 1998 - December 31, 2003
CETERA WEALTH SERVICES, LLC
May 2, 1984 - December 31, 2010
CETERA WEALTH SERVICES, LLC
September 9, 1983 - May 21, 1984
FSC SECURITIES CORPORATION
August 24, 1979 - September 6, 1983
ENTERPRISE FUND DISTRIBUTORS, INC.
May 1, 1979 - September 9, 1979
ALM, KANE, ROGERS & CO.
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
Current firm
No current employment
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.
