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Diane Kathleen Ballard

Voya Financial Partners, LLC

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About Diane Kathleen Ballard

Diane Kathleen Ballard is a financial professional with over 29 years of experience in the industry. Diane is currently registered with Voya Financial Partners, LLC in Scottsdale, Arizona. Diane has held previous roles with ADP Broker-Dealer, Inc., Prudential Securities Incorporated, PaineWebber Incorporated, and SunAmerica Securities, Inc. Diane has passed the Series 6, 7, 31 and 63 exams. She also holds the Series 65 license.

Firm Information

Diane Ballard is currently registered with Voya Financial Partners, LLC. Voya Financial Partners, LLC is a Limited Liability Company formed in November 2000. The firm is registered in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

460

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Diane Ballard’s Registration & Firm History

AZ

07/06/2013 - Present

Voya Financial Partners, LLC (Scottsdale AZ)

NJ

02/07/2000 - 01/09/2012

ADP BROKER-DEALER, INC. (ROSELAND NJ)

NY

10/21/1996 - 01/05/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NA

09/20/1996 - 10/14/1996

PRUDENTIAL SECURITIES INCORPORATED

NJ

01/28/1993 - 09/26/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

AZ

06/17/1992 - 03/30/1993

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

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Licenses & Designations

IA

Issued 02/26/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/26/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/14/1997

Series 31 - Futures Managed Funds Examination

BC

Issued 02/19/1993

Series 7 - General Securities Representative Examination

BC

Issued 06/15/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diane Kathleen Ballard.
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