Articles Tagged with Brian Ballard

Brian Ballard

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that Utah-based UBS Financial Services broker/adviser Brian Ballard has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ballard (CRD# 2131677).

Brian Ballard has spent 27 years in the securities industry and has been registered with UBS Financial Services in South Ogden, Utah since 2009. Previous registrations include Citigroup Global Markets in Ogden, Utah (1993-2009) and Lehman Brothers in New York, New York (1991-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 27, 1991. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Florida, Georgia, Idaho, Kansas, Maryland, Michigan, Minnesota, Montana, Nevada, New Mexico, Ohio, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington, and Wyoming. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint.