Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ballou is a financial advisor who has been in the industry since 1988. Richard is currently registered with Janney Montgomery Scott LLC and has been with the firm since 2017. Richard is also a registered investment advisor and has held licenses in multiple states. Richard has a broad range of experience in the financial services industry, including working with individuals, families, businesses, and institutions. Richard specializes in providing financial planning, portfolio management, and investment advisory services. Richard is committed to providing clients with personalized and comprehensive financial solutions.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fee plus commission
1
2
GA
09/12/2018 - Present
Janney Montgomery Scott LLC (ATLANTA GA)
GA
03/29/2017 - 09/10/2018
JANNEY MONTGOMERY SCOTT LLC (ATLANTA GA)
GA
05/01/2010 - 02/16/2016
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (ATLANTA GA)
GA
05/08/2002 - 05/01/2010
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (ATLANTA GA)
NJ
08/14/2000 - 05/22/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
08/24/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
MA
03/01/1995 - 08/26/1999
LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)
NA
01/30/1995 - 03/01/1995
COLONIAL INVESTMENT SERVICES
NC
12/17/1990 - 02/08/1995
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NC
11/08/1989 - 12/17/1990
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
MA
12/08/1987 - 09/18/1989
KRUPP SECURITIES CORPORATION (BOSTON MA)
NA
12/05/1986 - 12/02/1987
PUTNAM FINANCIAL SERVICES, INC.
BOTH
Issued 10/10/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 12/07/2010
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 09/02/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/02/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/14/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2001
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
BC
Issued 11/25/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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