Chris D Balka

Current Employers

Sowell Management

5320 Northshore Drive, North Little Rock, AR 72118 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-08-26
WA	RA	APPROVED	2017-07-18

AZ RA
APPROVED

Since 2025-08-26
WA RA
APPROVED

Since 2017-07-18

Branch Locations

Seattle, WA • United States

5320 Northshore Drive, North Little Rock, AR 72118 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Concert Wealth Management, Inc.	Seattle	WA	05/2009	07/2017
Sowell Management Services	Seattle	WA	07/2017	Present

05/2009 → 07/2017

Concert Wealth Management, Inc.

Seattle, WA
07/2017 → Present

Sowell Management Services

Seattle, WA

Previous Registrations

2009-05-07 → 2017-07-19

Concert Wealth Management

San Jose, CA

Seattle, WA
1995-04-04 → 2009-05-19

Citigroup Global Markets Inc.

Seattle, WA

Seattle, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-17
S63	Uniform Securities Agent State Law Examination	1995-02-10

S65 Uniform Investment Adviser Law Examination

1995-02-17
S63 Uniform Securities Agent State Law Examination

1995-02-10