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RUSSELL ANTHONY BALLEW
RUSSELL BALLEW
CRD#: 5207540
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 145 W. 10TH STREET
SUITE 140
TRACY, CA 95376
SUITE 140
TRACY, CA 95376
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 2010 Crow Canyon Place
Suite 100
San Ramon, CA 94583
Suite 100
San Ramon, CA 94583
0
Disclosures
18
Years of Experience
View By:
State Registrations
B
Arizona 11/14/2014
B
North Carolina 12/10/2014
B
California 11/14/2014
B
Ohio 10/27/2021
IA
California 11/25/2014
B
Oklahoma 2/15/2024
B
Georgia 11/14/2014
B
Oregon 5/4/2020
B
Hawaii 11/14/2014
B
Pennsylvania 5/17/2022
B
Illinois 1/8/2020
B
Tennessee 2/5/2021
B
Indiana 11/14/2014
B
Texas 12/10/2014
B
Iowa 12/2/2021
IA
Texas 12/11/2014
B
Kentucky 12/10/2014
B
Utah 10/7/2020
B
Maryland 10/13/2020
B
Virginia 6/18/2018
B
Minnesota 4/20/2021
B
Washington 2/7/2023
B
Missouri 1/14/2025
B
Wisconsin 7/15/2022
B
Nevada 8/19/2019
SRO Registrations
B
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IA
Registered with this firm since 11/25/2014
B
Registered with this firm since 11/14/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/10/2013 - 11/18/2014 | CHAPEL HILL, NC | |
B | 09/10/2013 - 11/18/2014 | CHAPEL HILL, NC | |
IA | 11/29/2006 - 08/09/2013 | STOCKTON, CA | |
B | 10/30/2006 - 08/09/2013 | STOCKTON, CA |
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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.