Individual Firm
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SANDRA LEE BALLARD
SANDRA LEE PATTERSON
CRD#: 4442953
IA
B
MORGAN STANLEYCRD#: 149777 Bardstown, KY
0
Disclosures
23
Years of Experience
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State Registrations
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Alabama 9/3/2020
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Nevada 2/27/2012
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Arizona 2/4/2010
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New Jersey 2/4/2010
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California 9/30/2010
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New Mexico 9/30/2010
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Colorado 2/4/2010
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New York 9/30/2010
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Connecticut 2/4/2010
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North Carolina 9/30/2010
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Delaware 9/30/2010
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Ohio 2/4/2010
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District of Columbia 5/7/2015
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Oklahoma 1/25/2021
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Florida 2/4/2010
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Oregon 8/28/2018
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Georgia 2/4/2010
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Pennsylvania 9/30/2010
B
Idaho 5/8/2023
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Puerto Rico 8/2/2023
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Illinois 2/4/2010
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Rhode Island 2/4/2010
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Indiana 6/1/2009
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South Carolina 2/4/2010
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Kansas 9/30/2010
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Tennessee 9/30/2010
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Kentucky 6/1/2009
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Texas 2/4/2010
IA
Kentucky 6/1/2009
IA
Texas 10/23/2015
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Louisiana 3/16/2018
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Vermont 8/5/2020
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Maryland 9/30/2010
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Virginia 9/30/2010
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Massachusetts 9/30/2010
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Washington 9/30/2010
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Michigan 9/30/2010
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West Virginia 2/3/2016
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Minnesota 8/28/2012
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Wisconsin 2/27/2012
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Missouri 7/16/2013
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Wyoming 9/19/2023
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Montana 5/10/2017
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/27/2004 - 06/01/2009 | LOUISVILLE, KY | |
B | 10/01/2001 - 06/01/2009 | LOUISVILLE, KY |
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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.