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Detailed Report
KEN ALAN BALSER
KENNETH ALAN BALSER
CRD#: 704053
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20002002200420062008201020122014201620182020IACETERA ADVISORS LLC (CRD# 10299)2013 - 2016 (2 years)IALPL FINANCIAL LLC (CRD# 6413)2012 - 2013 (1 year)IATHE PELOTON GROUP, LLC (CRD# 143662)2007 - 2011 (4 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2006 - 2007 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2006 (3 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2003 (3 years)
Disclosure(s)
View By:
5/12/2020
Customer Dispute
Settled
10/23/2019
Customer Dispute
Settled
6/13/2019
Customer Dispute
Settled
10/9/2018
Customer Dispute
Settled
1/20/2017
Regulatory
Final
12/19/2016
Regulatory
Final
7/18/2016
Employment Separation After Allegations
Previous Registration(s)
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 10/04/2013 - 07/21/2016 CETERA ADVISORS LLC (CRD#:10299) COLORADO SPRINGS, CO
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 02/06/2012 - 10/25/2013 LPL FINANCIAL LLC (CRD#:6413) COLORADO SPRINGS, CO
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 06/12/2007 - 12/31/2011 THE PELOTON GROUP, LLC (CRD#:143662) COLORADO SPRINGS, CO
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 05/25/2006 - 04/17/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) COLORADO SPRINGS, CO
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 05/16/2003 - 05/12/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) COLORADO SPRINGS, CO
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 02/03/2000 - 06/03/2003 A. G. EDWARDS & SONS, INC. (CRD#:4) COLORADO SPRINGS, CO
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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.
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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.