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Michael R Ballou

CDX Advisors

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About Michael R Ballou

Michael R. Ballou is a financial professional with over 16 years of experience in the industry. Currently registered with CDX Advisors, Michael has a strong background in investment banking and a wide range of experience across several financial institutions. Michael’s previous employers include TAP Securities LLC, Barclays Capital Inc., and Banc of America Securities LLC. Michael’s expertise and strong knowledge of the financial markets have allowed him to serve clients across various states including California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Nevada, New York, Oregon, Pennsylvania, Texas, Utah, Virginia, and Washington.

Firm Information

Michael Ballou is currently registered with CDX Advisors. CDX Advisors is a Limited Liability Company registered in 19 states and the SEC, formed in December 2013.

Not reported

Assets Under Management

Not reported

Total Clients

7

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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Michael Ballou’s Registration & Firm History

FL

01/12/2016 - Present

CDX Advisors (West Palm Beach FL)

NY

06/03/2013 - 11/05/2015

TAP SECURITIES LLC (NEW YORK NY)

NY

06/30/2010 - 03/08/2013

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

12/19/2005 - 05/04/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/08/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/11/2018

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2010

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 12/16/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael R Ballou.
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