Ellis Michael Balsam

Current Employers

Carter & Balsam Advisers

Los Angeles, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2010-10-27

CA RA
APPROVED

Since 2010-10-27

Branch Locations

Los Angeles, CA • 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
Carter & Balsam Advisers Formerly John R Carter Corporation	Los Angeles	CA	10/2010	Present
Carter & Balsam Cpas	Los Angeles	CA	04/2001	Present

10/2010 → Present

Carter & Balsam Advisers Formerly John R Carter Corporation

Los Angeles, CA
04/2001 → Present

Carter & Balsam Cpas

Los Angeles, CA

Other Businesses

NAME - CARTER & BALSAM CPAS; INVESTMENT RELATED - NO; ADDRESS - 825 S GRETNA GREEN WAY # K, LOS ANGELES, CA 90049; NATURE OF BUSINESS - CERTIFIED PUBLIC ACCOUNTANTS; POSITION - PRESIDENT; START DATE - 04/2001; HOURS PER MONTH - 55; HOURS PER MONTH DURING SECURITIES TRADING HOURS - 55; DUTIES - CPA, ACCOUNTING & TAX.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-01-07

S65 Uniform Investment Adviser Law Examination

2009-01-07