David James Ballheim

Employer firm

Ballheim Financial LLC CRD 164318

$32.3M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Periodicals / newsletters
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Ballheim Financial Llc

Leclaire, IA • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2012-05-16

IA RA
APPROVED

Since 2012-05-16

Branch Locations

Leclaire, IA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Ballheim Financial Llc	Leclaire	IA	05/2012	Present

05/2012 → Present

Ballheim Financial Llc

Leclaire, IA

Previous Registrations

2010-09-09 → 2022-03-11

Palen Financial Llc

Davenport, IA

Other Businesses

*CRB LLC *Non investment-related *69 Joy Drive, Waterloo, IA 50701 *Farm rental *20% partner *2019 *0 hours monthly *0 hours during security trading hours *zero duties, simply give my accountant a copy of the K-1 annually to report income

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-06-10

S65 Uniform Investment Adviser Law Examination

2010-06-10

View on SEC IAPD