BALLAST POINT FINANCIAL PLANNING, LLC of BURLINGAME, CA is an SEC-registered investment adviser (CRD 283295). Regulatory assets under management: $162.4M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Shawn Tydlaska | CEO AND CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-11-05 | regulatory | ALLEGED VIOLATION OF SECTION 11-401 AND 11-402 OF THE MARYLAND SECURITIES ACT BY TRANSACTING BUSINESS IN MARYLAND WITHOUT BEING REGISTERED, AND EMPLOYING AN INVESTMENT ADVISOR REPRESENTATIVE IN MARYLAND WITHOUT BEING REGISTERED. | Final | $3K |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 1 | 607-342-8777 |
| — | — | 1 | 6506367526 |
| — | — | 1 | 3109809490 |
| — | — | 1 | 607-342-8777 |
| — | — | 1 | 6506367526 |
| — | — | 1 | 3109809490 |