Bruce N. Ball
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bruce Norman Ball was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1982. Bruce had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2008 - December 11, 2008
BLACK ROSE EQUITY MANAGEMENT LLC
January 4, 2008 - November 1, 2008
PACIFIC INVESTMENT CONSULTANTS, INC
January 2, 2008 - January 1, 2010
PACIFIC INVESTMENT CONSULTANTS, INC
September 12, 2007 - November 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 12, 2007 - November 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 2006 - November 8, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
July 27, 2006 - November 8, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
February 9, 2006 - September 13, 2007
MKG CAPITAL ADVISORS
April 27, 2004 - December 31, 2005
MKG CAPITAL ADVISORS LTD.
September 9, 2003 - July 6, 2006
MKG FINANCIAL GROUP, INC.
February 27, 2003 - September 9, 2003
FORESTERS EQUITY SERVICES, INC.
March 5, 2001 - December 20, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2000 - March 6, 2001
GRAND FINANCIAL, INC.
February 15, 2000 - June 28, 2000
METROPOLITAN LIFE INSURANCE COMPANY
February 15, 2000 - June 28, 2000
MSI FINANCIAL SERVICES, INC.
October 15, 1996 - February 14, 2000
MCGINN, SMITH & CO., INC.
March 7, 1990 - September 4, 1996
A. G. EDWARDS & SONS, INC.
July 23, 1982 - March 24, 1990
GLEACHER & COMPANY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/30/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLACK ROSE EQUITY MANAGEMENT LLC
CRD#: 147299 / SEC#: , 8-67896
Contact information
Documents
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.
