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Detailed Report
LAWSON HUGH BALLARD JR
LAWSON HUGH BALLARD
CRD#: 1146807
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 112 HAYWOOD ROAD
GREENVILLE, SC 29607
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (12 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1983 - 2009 (25 years)BPW SECURITIES, INC. (CRD# 6775)1983 - 1983 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1992 - 2009 (16 years)
Disclosure(s)
View By:
3/24/2009
Customer Dispute
Denied
4/14/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 9/15/2021
B
New Hampshire 9/1/2016
B
Colorado 2/13/2013
B
New Jersey 10/23/2018
B
Connecticut 9/14/2018
B
New York 2/13/2013
B
Delaware 6/14/2018
B
North Carolina 2/13/2013
B
Florida 2/13/2013
B
South Carolina 2/13/2013
B
Georgia 2/13/2013
IA
South Carolina 2/13/2013
B
Illinois 12/7/2021
B
Texas 2/13/2013
B
Iowa 9/6/2024
IA
Texas 4/23/2013
B
Massachusetts 12/15/2020
B
Utah 2/13/2013

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
112 HAYWOOD ROAD, GREENVILLE, SC 29607
Registered with this firm since 2/13/2013
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
112 HAYWOOD ROAD, GREENVILLE, SC 29607
Registered with this firm since 2/13/2013
Previous Registration(s)
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IA
 03/06/2009 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) GREENVILLE, SC
B
 03/05/2009 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) GREENVILLE, SC
IA
 12/29/1992 - 03/26/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENVILLE, SC
B
 09/15/1983 - 03/26/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENVILLE, SC
B
 07/20/1983 - 09/09/1983 PW SECURITIES, INC. (CRD#:6775)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.