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John David Ballance
JOHN DAVID BALLANCE, JOHN BALLANCE
CRD#: 3245389
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2008 (8 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2005 - 2008 (3 years)
Disclosure(s)
View By:
2/11/2009
Customer Dispute
Denied
2/2/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/23/2009

B
Mississippi 8/5/2021

B
Arizona 10/23/2009

B
Missouri 11/4/2014

B
California 10/23/2009

B
Nebraska 8/10/2015

B
Colorado 3/4/2014

B
Nevada 2/14/2023

B
Connecticut 10/23/2009

B
New Jersey 5/23/2024

B
Florida 10/23/2009

B
New York 8/10/2018

B
Georgia 10/23/2009

B
North Carolina 10/23/2009

IA
Georgia 10/23/2009

B
Ohio 11/8/2018

B
Idaho 3/26/2021

B
Oregon 6/22/2018

B
Illinois 10/23/2009

B
Rhode Island 11/6/2024

B
Kansas 9/9/2019

B
South Carolina 10/23/2009

B
Kentucky 10/23/2009

B
Tennessee 10/23/2009

B
Louisiana 9/22/2017

B
Texas 10/23/2009

B
Maine 2/14/2023

IA
Texas 6/15/2012

B
Maryland 8/19/2019

B
Virginia 10/23/2009

B
Massachusetts 1/5/2022

B
Washington 3/5/2020

B
Michigan 3/13/2019

B
West Virginia 6/2/2023

B
Minnesota 2/14/2023

B
Wyoming 2/14/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/12/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ALPHARETTA, GA
B
11/07/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ALPHARETTA, GA
IA
06/23/2005 - 11/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) KENNESAW, GA
B
10/01/2000 - 11/10/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) KENNESAW, GA
B
07/13/1999 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
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.