John BalesCRD Number: 1820734
Current Firm: Ims Financial Advisors, Inc.
John Bales (CRD# 1820734) is an Investment Advisor Representative working at Ims Financial Advisors, Inc. in San Antonio, TX and has over 29 years of experience in the finance industry. John Bales has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Intercontinental Wealth Advisors, LLC
Wealth Watch Advisors, LLC
Vannoy Advisory Group, Inc.
|Ims Securities, Inc.||Houston, TX||Jan 2003 - Current||14|
|Ims Financial Advisors, Inc.||Houston, TX||Jan 2003 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1988|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management76MILLIONS
Total Number of Accounts484ACCOUNTS
Average Account Value$157,316
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AR, AZ, CA, CO, FL, GA, HI, IA, ID, IN, KS, LA, MD, MI, MO, MS, NC, NE, NM, NV, NY, OH, OK, OR, PA, SD, TX, UT, VA, WA, WI, WV