CRD #125393 · FINRA BrokerCheck + SEC IAPD

First Ballantyne, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Ballantyne, LLC ranks #3,878 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #17 of 55 on the same disclosure sort used on the state browse page. First Ballantyne, LLC carries 1 BrokerCheck disclosure across 2 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
2
branch offices
1
disclosure
#3,878 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 125393 First Ballantyne, LLC

First Ballantyne, LLC · Grade B · 1 disc · 0.50/office · Small firm

  • CRD 125393
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 2
  • PER-OFF 0.50
  • RANK #3,878 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: 1964 Global (0.50 disc/office)

1964 Global0.50ABG Sundal Collier Inc.0.50ABN Amro Securities (US…0.50First Ballantyne, LLC (this)0.50
Disclosures per office among small firm peers (lower is cleaner)

First Ballantyne, LLC ranks #3,878 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

2 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.50 per office

1 ÷ 2 offices

First Ballantyne, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for First Ballantyne, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Charlotte, NC
CRD Number
125393

Regulator-heavy mix

First Ballantyne, LLC in the heavier-disclosure third

First Ballantyne, LLC carries 1 BrokerCheck disclosure across 2 branch offices - a heavier-third raw book among graded firms (#3,878 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of First Ballantyne, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of First Ballantyne, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

North Carolina cohort · 0.23× state average

First Ballantyne, LLC sits below the North Carolina disclosure average

First Ballantyne, LLC reports 1 BrokerCheck disclosure, 0.23× the North Carolina average of 4.3, lighter than most of the 55 graded firms filed there.

In North Carolina, 31 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the North Carolina state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does First Ballantyne, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, First Ballantyne, LLC ranks #3,878 of 20,055 by disclosure count (most disclosures first). Among firms registered in NC, it ranks #17 of 55 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for First Ballantyne, LLC?
A grade of B reflects First Ballantyne, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does First Ballantyne, LLC have?
First Ballantyne, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is First Ballantyne, LLC?
First Ballantyne, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in NC (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify First Ballantyne, LLC's disciplinary record?
You can verify First Ballantyne, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 125393. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid First Ballantyne, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. First Ballantyne, LLC carries 1 disclosure across 2 branch offices (about 0.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1964 Global (NY) - 0.50 disclosures/office, nearest small firm peer to First Ballantyne, LLC's 0.50
  • ABG Sundal Collier Inc. (NY) - 0.50 disclosures/office, nearest small firm peer to First Ballantyne, LLC's 0.50
  • ABN Amro Securities (USA) LLC (NJ) - 0.50 disclosures/office, nearest small firm peer to First Ballantyne, LLC's 0.50
  • Firms in NC - state roster that includes First Ballantyne, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like First Ballantyne, LLC.
  • Reading BrokerCheck Reports - How First Ballantyne, LLC's 0.50 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to First Ballantyne, LLC.
  • Compare firms - put First Ballantyne, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.