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Featured Business Financial Advisor in East Lansing, MI
East Lansing Financial Advisors
Raymond James Financial Services, Inc.
271 Woodland Pass Ste. 210
East Lansing, MI 48823
(800) 974-2650
Advisor Profile
Kent Ballard
Name:  Kent Ballard
Phone Number:  (800) 974-2650
Website:  Visit Website

About Raymond James Financial Services, Inc.

As an independent professional advisor, I can offer you a personalized financial strategy, not a generic investment program. Your individual portfolio will be based on your unique situation, your attitudes, preferences and goals. It will be designed to account for change, both in the market and in your circumstances, so that it can work with you and for you at every stage of your life. My approach to investing is straight forward: I focus on becoming your partner in building the future you desire. As we work together, I'll thoroughly explain the investment strategies I recommend, so that you'll be fully comfortable with all aspects of your investment program. Every decision we make will be focused on achieving the results you want. My mission is to help my clients achieve financial independence through professional advice, sound risk management, quality investment products, and personal, efficient service. Your Rights as a Client:Courteous service, a trustworthy and competent financial advisor, suitable recommendations, timely transactions at the best available prices, full disclosure of costs and risks, clear communications, comprehensive statements and trade confirmations, prompt error and complaint resolution,and strict confidentiality. I have spent my entire career as an Investment Professional with Raymond James Financial Services, my Practice has been located at the same location for my entire 18 years assisting clients in the planning and investment process. Investment advisory services offered through Raymond James Financial Services Advisors, Inc., Member FINRA/SIPC
 

General Information

Gender:    Male
CRD#:    3007902
Firm CRD#:    6694
Insurance License#:    367928679
Name of Broker/Dealer:    Raymond James Financial Services, Inc.
Name of Custodial Firm:    Raymond James Financial Services, Inc.
States Licensed in:    MI, AL, CO, IL, MN, NC, TX, AK, FL, IN, NV, OH, VA, CA, GA
States Willing to do Business in:    Bancroft,Bath,Byron,Charlotte,Dansville,Dewitt,Dimondale,Eagle,Eaton Rapids,Elsie,Fowler,Fowlerville,Grand Ledge,Haslett,Holt,Laingsburg,Lansing,Leslie,Mason,Morrice,Mulliken,Okemos,Onondaga,Ovid,Owosso,Perry,Pewamo,Potterville,Saint Johns,Stockbridge,Webberville,Westphalia,Williamston
Years of Experience in Financial Services:    18
Number of Years with Current Firm:    18
Work Experience:    I have been with Raymond James Financial Services my entire career as an Investment Advisor. I have been the Branch Manager for the past 10 years again, all in the same location.
I work with the following types of clients:    Individual Investors, Non-Profit Organizations, Businesses
 

Education

Academic Background
 
Bachelor of Science in Business Administration with a double major in Management and Marketing, minor in Business Administration- Central Michigan University.
 

Services

Investment Types:    Annuities, Insurance, Exchange Traded Funds (ETFs), Stocks, Alternative Investments, Options & Futures, Bonds, Mutual Funds, Socially Responsible Investments (SRI)
 

Qualifications & Memberships

Securities Licenses:    Series 7, Series 9, Series 10, Series 31, Series 63
Insurance and Annuity Licenses:    Life, Long Term Care, Variable Annuity, Variable Life, Annuity
Financial Organization Memberships:    Paladin Registry, Financial Planning Association (FPA)
Non-Financial Organization Memberships:    Vice President Pheasants Forever, member of following: Safari Club International, Ducks Unlimited, Mighigan Bow Hunters, Commemorative Bucks of Michigan, Rocky Mountain Elk Foundation, International Order of Rocky Mountain Goats, Quality Deer Management
 

Firm Information

Firm's Number of Clients:    400
Firm's Number of Planning Clients:    400
Firm's Number of Managed Clients:    400
Assets Managed by Firm:    $160,000,000
Advisor's Number of Clients:    400
Advisor's Number of Managed Clients:    400
Advisor's Number of Planning Clients:    400
Assets Managed by Advisor:    $160,000,000
 

Compliance

Registered Investment Advisor:    Yes
Registered Representative:    Yes
Investment Advisor Representative:    Yes
I am an acknowledged fiduciary:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation & Fees

Fee Structure:    I am a Fee-Based financial professional
Minimum Portfolio Size for New Managed Accounts:    100,000
Compensation Methods:    Commissions, Flat Fee, Based on Assets
Fee % Based on Assets:    1.25
Additional Details on Charges:    Based upon the clients needs and portfolio size. Prior to investing all clients will discuss with me: costs, time committment, risks associated and potential performance. In a fee-based account clients pay a quarterly fee, based on the level
of assets in the account, for the services of a financial advisor as part of an advisory relationship. In deciding to pay a fee rather than
commissions, clients should understand that the fee may be higher than a commission alternative during periods of lower trading. Advisory fees are in addition to the internal expenses charged by mutual funds and other investment company securities. To the extent that clients intend to hold these securities, the internal expenses should be included when evaluating the costs of a fee-based account. Clients should periodically re-evaluate whether the use of an asset-based fee continues to be appropriate in servicing
their needs. A list of additional considerations, as well as the fee schedule, is available in the firm's Form ADV Part 2A as well as the client agreement.
Minimum Fee Charged for Managed Accounts:    1.25%
 
 
 
Prepared By: Kent Ballard

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