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DOUGLAS CORDNER BALLARD
CRD#: 4030327
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 1967 HIGHWAY 34
BUILDING C, SUITE 201
WALL, NJ 07719
BUILDING C, SUITE 201
WALL, NJ 07719
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Delaware 4/22/2004
B
New York 4/11/2017
IA
Delaware 2/8/2016
IA
New York 5/18/2021
B
Florida 4/22/2021
B
North Carolina 2/20/2025
IA
Florida 4/27/2021
IA
North Carolina 2/20/2025
B
Georgia 6/19/2020
B
Pennsylvania 4/22/2004
IA
Georgia 8/6/2020
IA
Pennsylvania 5/14/2012
B
New Jersey 1/26/2004
B
Texas 11/23/2022
IA
New Jersey 6/7/2005
IA
Texas 12/6/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/7/2005
B
Registered with this firm since 1/26/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/02/2002 - 01/02/2004 | PENNINGTON, NJ | |
B | 04/26/2002 - 01/02/2004 | NEW YORK, NY | |
B | 04/10/2001 - 07/30/2001 | GREENWICH, CT | |
B | 12/07/1999 - 02/21/2001 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.