Richard Ballou (CRD# 1572301) is an Investment Advisor Representative working at Janney Montgomery Scott LLC in Atlanta, GA and has over 36 years of experience in the finance industry.
CRD# 7069825
Beacon Global Advisor Network, LLC
CRD# 5338514
Rollins Financial Advisors, LLC
CRD# 5822473
Rockefeller Capital Management
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Janney Montgomery Scott LLC | Atlanta, GA | Jan 2024 - Current | < 1 |
| Janney Montgomery Scott LLC | Atlanta, GA | Dec 2021 - Jan 2024 | 2 |
| Janney Montgomery Scott LLC | Atlanta, GA | Mar 2017 - Dec 2021 | 4 |
| Venture24 Capital Partners | Atlanta, GA | Feb 2016 - Mar 2017 | 1 |
| Riversource Investments | Minneapolis, MN | May 2010 - Feb 2016 | 5 |
| Riversource Fund Distributors, Inc. | Atlanta, GA | May 2010 - Feb 2016 | 5 |
| Columbia Managementadvisors, LLC | Boston, MA | Mar 2005 - Feb 2016 | 10 |
| Columbia Management Advisors Inc. | Portland, OR | Apr 2003 - Feb 2016 | 12 |
| Liberty Funds Distributor, Inc. | Boston, MA | May 2002 - Feb 2016 | 13 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1987 |
| S66 | NASAA Uniform Combined State Law Examination | Oct 2000 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- GA
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Total Assets Under Management85,895MILLIONS
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Total Number of Accounts226,034ACCOUNTS
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Average Account Value$380,010
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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