DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

RICHARD JOHN BALLOU

Advisor at JANNEY MONTGOMERY SCOTT LLC

ATLANTA, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f4670ab0-8e0f-ddbc-a328-4a3d55ab459d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: JANNEY MONTGOMERY SCOTT LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 5, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 4
Exams: S63|S66
First exam: Oct 5, 1987
First registration: Dec 31, 2001
Dual registered: yes, broker-dealer
Other names: RICK BALLOU
IAPD individual key: 1572301

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Sep 12, 2018	n/a	yes	ATLANTA, GA	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Mar 30, 2017	Sep 10, 2018	no	ATLANTA, GA	Previous registration
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	Asset manager	May 1, 2010	Feb 16, 2016	no	MINNEAPOLIS, MN\|BOSTON, MA	Previous registration
BOFA ADVISORS, LLC	Former SEC adviser	Mar 29, 2005	May 7, 2010	no	ATLANTA, GA\|ATLANTA, GA\|BOSTON, MA\|ATLANTA, GA	Previous registration
COLUMBIA MANAGEMENT ADVISORS, INC.	n/a	Apr 1, 2003	Mar 28, 2005	no	BOSTON, MA	Previous registration
STEIN ROE & FARNHAM INCORPORATED	n/a	Jun 3, 2002	Apr 1, 2003	no	BOSTON, MA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 31, 2001	May 22, 2002	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	JANNEY MONTGOMERY SCOTT LLC	Feb 16, 2016	Mar 30, 2017	408	Firm change after gap	Other
BOFA ADVISORS, LLC	COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	May 7, 2010	May 1, 2010	-6	Bulk transfer	Other
COLUMBIA MANAGEMENT ADVISORS, INC.	BOFA ADVISORS, LLC	Mar 28, 2005	Mar 29, 2005	1	Firm change	Other
STEIN ROE & FARNHAM INCORPORATED	COLUMBIA MANAGEMENT ADVISORS, INC.	Apr 1, 2003	Apr 1, 2003	0	Firm change	Other
UBS FINANCIAL SERVICES INC.	STEIN ROE & FARNHAM INCORPORATED	May 22, 2002	Jun 3, 2002	12	Firm change	Other

Relationships

Registered with (6)

→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Mar 30, 2017 to Sep 10, 2018factForm ADV
→ COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
May 1, 2010 to Feb 16, 2016factForm ADV
→ BOFA ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 29, 2005 to May 7, 2010factForm ADV
→ COLUMBIA MANAGEMENT ADVISORS, INC.Registered adviserregistration: previous registration
Apr 1, 2003 to Mar 28, 2005factForm ADV
→ STEIN ROE & FARNHAM INCORPORATEDRegistered adviserregistration: previous registration
Jun 3, 2002 to Apr 1, 2003factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 31, 2001 to May 22, 2002factForm ADV

Dated events

No dated event names this entity yet.