Carol A. Ball

STIFEL, NICOLAUS & COMPANY

BOSTON, MA 02110

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CRD#: 1122137

Professional summary

Carol Ann Ball, who also goes by Carol A Golden, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Boston, Massachusetts.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Carol has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol A Golden

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.

Notary Public;125 High Street, Boston, MA 02110; 9/18/15;1 hour/yr; not during securities hours; investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Ball's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Carol Ann Ball'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

December 4, 2015 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 125 High Street, Boston, MA 02110

RIA

CRD#: 793

BOSTON, MA

Current

December 4, 2015 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 125 High Street, Boston, MA 02110

RIA

CRD#: 793

BOSTON, MA

Past

January 21, 2009 - December 4, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

BOSTON, MA

Past

September 22, 2008 - December 4, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

BOSTON, MA

Past

December 6, 2007 - October 15, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

BOSTON, MA

Past

June 5, 2000 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

BOSTON, MA

Past

May 19, 1987 - August 1, 1988

CLAYTON, POLLEYS & CO., INC.

CRD#: 6461

Past

August 8, 1984 - June 30, 1986

TRUSTEED FUNDS, INC

CRD#: 926

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".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/4/2015)

Alaska
(12/4/2015)

Arizona
(12/4/2015)

Arkansas
(12/4/2015)

California
(12/4/2015)

Colorado
(12/4/2015)

Connecticut
(12/4/2015)

Delaware
(12/4/2015)

District of Columbia
(12/4/2015)

Florida
(12/4/2015)

Georgia
(12/4/2015)

Hawaii
(12/4/2015)

Illinois
(12/4/2015)

Iowa
(12/4/2015)

Maine
(12/4/2015)

Maryland
(12/4/2015)

Massachusetts
(12/4/2015)

Nevada
(12/4/2015)

New Hampshire
(12/4/2015)

New Jersey
(12/4/2015)

New York
(12/4/2015)

North Carolina
(12/4/2015)

Pennsylvania
(12/4/2015)

IAR

Pennsylvania
(12/4/2015)

Rhode Island
(12/4/2015)

South Carolina
(12/4/2015)

Texas
(12/4/2015)

IAR

Texas
(12/4/2015)

Utah
(6/24/2021)

Vermont
(12/4/2015)

Virginia
(12/4/2015)

Washington
(4/10/2025)

West Virginia
(12/4/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/17/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/20/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/27/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/26/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 27

Date: 3/16/1985

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/1984

General Securities Principal Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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

Carol A. Ball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Ball's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Carol Ann Ball's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

CLAYTON, POLLEYS & CO., INC.

TRUSTEED FUNDS, INC

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 10/20/2009

Series 7

Date: 7/21/1984

Series 10

Date: 7/27/2001

Series 9

Date: 7/26/2001

Series 27

Date: 3/16/1985

Series 24

Date: 11/5/1984

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

NYSE American LLC

NYSE Texas, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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