Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Stradling Ballantyne has been in the financial services industry since 1979 and is currently registered with RBC Capital Markets, LLC. Joseph has a wide range of experience, having worked for several firms including Wells Fargo Clearing Services, LLC, U.S. Bancorp Piper Jaffray Inc., and Everen Securities, Inc. Joseph has a broad set of licenses and qualifications, including Series 7, 63, 65, 24, 4, 53, and 12. He is registered in Arizona, California, Colorado, Connecticut, Florida, Idaho, Illinois, Michigan, Minnesota, Montana, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Utah, Virginia, Washington and Wyoming. Joseph specializes in providing a wide range of services, including financial planning, portfolio management for businesses and individuals, pension consulting, educational seminars, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
AZ
11/15/2017 - Present
RBC Capital Markets, LLC (TUCSON AZ)
AZ
10/02/2003 - 11/10/2017
WELLS FARGO CLEARING SERVICES, LLC (TUCSON AZ)
MN
03/11/1999 - 10/06/2003
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
MO
05/11/1998 - 03/01/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
TX
05/12/1992 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
MO
09/04/1990 - 04/14/1992
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
07/02/1987 - 09/04/1990
BOETTCHER & COMPANY, INC.
NA
01/02/1979 - 07/13/1987
RAUSCHER PIERCE REFSNES, INC.
IA
Issued 12/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/07/1981
Series 24 - General Securities Principal Examination
BC
Issued 04/30/1981
Series 4 - Registered Options Principal Examination
BC
Issued 04/11/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1978
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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