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John David Ballance

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Alpharetta, GACRD #3245389Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
37 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 37 states
AlabamaArizonaArkansasCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaIdahoIllinoisKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriNebraskaNevadaNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasVirginiaWashingtonWest VirginiaWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/14/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 7/15/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/19/2001
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/12/1999
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 8/13/2007
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 3/7/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/23/2009Alpharetta, GA
BANC OF AMERICA INVESTMENT SERVICES, INC.
11/12/200810/23/2009Alpharetta, GA
WACHOVIA SECURITIES, LLC
6/23/200511/10/2008Kennesaw, GA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John David Ballance has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

John David Ballance - Financial Advisor in Alpharetta, GA | AdvisorFinder