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Michael Joseph Ballan

Northwestern Mutual Investment Services, LLC

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About Michael Joseph Ballan

Michael Ballan is a financial professional with over 12 years of experience in the industry. Michael is currently registered with Northwestern Mutual Investment Services, LLC, and is located in Florham Park, NJ. Michael has a strong background in the securities industry, having previously held roles at various firms, including Virtu Americas LLC, Janney Montgomery Scott LLC, Knight Capital Americas LLC, and Banc of America Securities LLC. Michael holds several professional licenses, including the Series 7, Series 7TO, Series 55, and Series 63.

Firm Information

Michael Ballan is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Michael Ballan’s Registration & Firm History

NJ

09/05/2024 - Present

Northwestern Mutual Investment Services, LLC (Florham Park NJ)

NY

11/10/2014 - 01/26/2018

VIRTU AMERICAS LLC (New York NY)

NY

02/26/2013 - 10/24/2014

JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)

NJ

07/02/2012 - 02/15/2013

KNIGHT CAPITAL AMERICAS LLC (JERSEY CITY NJ)

NJ

06/28/2006 - 07/02/2012

KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)

NY

07/23/2004 - 06/26/2006

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/05/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/05/2024

SIE - Securities Industry Essentials Examination

BC

Issued 09/03/2024

Series 7TO - General Securities Representative Examination

BC

Issued 09/26/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/21/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Joseph Ballan.
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