Michael B. Ballard

AE WEALTH MANAGEMENT

Birmingham, AL 35243

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CRD#: 1014024

Professional summary

Michael Bingham Ballard, who also goes by Mike Ballard, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Birmingham, Alabama.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Ballard

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. DBA AND INSURANCE: ALLIANCE WEALTH MANAGEMENT GROUP, INC.; INVESTMENT RELATED; 1 PERIMETER PARK SOUTH, SUITE 318-NORTH, BIRMINGHAM AL 35243; INSURANCE PLANNING; OWNER/PLANNER; STARTED 09/26/2002; 50 HRS/WK; 25 TRADING HRS/WK; MEETING WITH PROSPECTS, CLIENT REVIEWS SALES PRESENTATIONS, SEMINARS, RADIO, AND MARKETING. 2. AMERICAN FINANCIAL EDUCATION ALLIANCE; INVESTMENT RELATED; 8514 MCALPINE PARK DRIVE #280, CHARLOTTE, NC 28211; FINANCIAL EDUCATION CLASSES; CLASSROOM INSTRUCTOR; START DATE 2/2018; 8 HOURS PER MONTH, 0 DURING SECURITIES TRADING HOURS; CLASSROOM INSTRUCTION FOR FINANCIAL PLANNING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Bingham Ballard's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 21, 2016 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 1 Perimeter Park S Ste 318n, Birmingham, AL 35243Office #2: 600 Boulevard South Sw Ste 302, Huntsville, AL 35802

RIA

CRD#: 282580

Birmingham, AL

Past

December 21, 2016 - January 4, 2017

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

Birmingham, AL

Past

December 20, 2016 - February 13, 2017

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Birmingham, AL

Past

May 22, 2013 - October 21, 2016

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

BIRMINGHAM, AL

Past

May 22, 2013 - October 21, 2016

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

BIRMINGHAM, AL

Past

November 14, 2000 - May 22, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

BIRMINGHAM, AL

Past

May 21, 1986 - May 22, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

April 13, 1982 - June 12, 1986

SIGNATOR INVESTORS, INC.

CRD#: 468

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(10/21/2016)

IAR

Texas
(10/21/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/12/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/1986

General Securities Principal Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael B. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Bingham Ballard's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/1999

Series 63

Date: 7/15/1985

SIE

Date: 2/13/2017

Series 7

Date: 7/19/1986

Series 6

Date: 4/12/1982

Series 24

Date: 7/9/1986

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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