John Ballon

Current Employers

Employment History

• 02/2010 → 05/2017
  Nl Financial Alliance/National Life Insurance Company
  New York, NY
• 12/2013 → 05/2017
  Equity Services, Inc
  Montpelier, VT
• 05/2017 → 09/2022
  First Allied Securities Inc
  San Diego, CA
• 11/2020 → Present
  First Allied Advisory Services
  Schaumburg, IL
• 05/2019 → 11/2020
  First Allied Advisory Services, Inc.
  San Diego, CA
• 09/2022 → 07/2024
  Cetera Advisors Llc
  New York, NY
• 10/2022 → Present
  Gutter Shutter Greater Atlanta
  Alpharatta, GA
• 07/2024 → Present
  Osaic
  Suwanee, GA

Previous Registrations

• 2020-10-27 → 2024-08-02
  Cetera Investment Advisers Llc
  Suwanee, GA
  New York, NY
• 2017-05-09 → 2020-11-12
  First Allied Advisory Services, Inc.
  Norcross, GA
  Suwanee, GA
• 2013-12-18 → 2017-05-09
  Equity Services, Inc.
  Sandy Springs, GA
  New York, NY
  Norcross, GA
  Sandy Springs, GA
• 2012-10-22 → 2013-11-18
  Equity Services, Inc.
  New York, NY
  Sandy Springs, GA

Other Businesses

1. EMPIRE SOUTH FINANCIAL POSITION: President NATURE: This is just the DBA I use for my firm as a financial advisor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/01/2010 ADDRESS: 10400 Belladrum, Alpharetta GA 30022, United States DESCRIPTION: The name of my company that I use to market financial services. 2. CBI GROUP POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/02/2012 ADDRESS: 10400 Belladrum, Alpharetta GA 30022, United States DESCRIPTION: This business was used to market my financial services with a CPA relationship of mine in White Plains. I do not use this anymore, but I do get residual insurance commissions from this company. 3. JACOB CLINK PUBLISHING POSITION: author NATURE: I wrote a book about becoming a first-time father and I am just starting to sell it on Amazon. There is ZERO financial information in the book it is just about what a new dad can expect. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2022 ADDRESS: 10400 Belladrum, Alpharetta GA 30022, United States DESCRIPTION: I just wrote a short book and I am marketing /selling it on Amazon. 4. GUTTER SHUTTER OF GREATER ATLANTA POSITION: Investro NATURE: I am the investor in a home services business that mainly focuses on Gutter replacement. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/03/2022 ADDRESS: 6520 Corprate Ct., #150, Alpharetta GA 30005, United States DESCRIPTION: I have no duties. I invested in startup company with a friend of mine. He runs and operates the company on a day-to-day basis. 5. MERCHANEER POSITION: Sales Rep NATURE: This is a merchant services company that deals with credit card processing. A good friend of mine is a minority owner of the company. Basically, when a small business uses a credit card there are fees with every transition. Some go to the credit card company; some goes to the processor some go to the sales rep that sold it. I would be a sales rep of sorts. It would not take any time, but I have a large network of professional and if one decides to convert, I will get paid as the sales rep. I WILL NOT be going after current clients. No salary only commission. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2024 ADDRESS: 1930 Bobby Jones Drive, Johns Creek GA 30022, United States DESCRIPTION: If I meet a business owner and make an introduction to Mechaneer and they transition their Credit Card processing to them, I will get paid as a sales rep. No salary, just 1099 if I sell anything. I have not started selling as I Wanted it to clear it with Osaic first.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-10-16
• S63 Uniform Securities Agent State Law Examination
  2011-10-29