Clarence J. 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.
Clarence Jordan Ball JR, who also goes by Jordan Ball, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1970. Clarence had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2013 - February 2, 2015
KESTRA PRIVATE WEALTH SERVICES, LLC
May 6, 2011 - June 3, 2013
FCG ADVISORS, LLC
May 5, 1999 - April 11, 2011
SCOTT & STRINGFELLOW, LLC
April 18, 1996 - April 11, 2011
SCOTT & STRINGFELLOW, LLC
March 13, 1996 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
April 29, 1987 - December 6, 1988
TUCKER ANTHONY INCORPORATED
September 12, 1978 - March 12, 1996
UBS FINANCIAL SERVICES INC.
February 7, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1973 - February 8, 1974
DUPONT WALSTON, INCORPORATED
July 2, 1971 - July 2, 1973
DUPONT GLORE FORGAN INC
July 24, 1970 - July 2, 1971
DUPONT WALSTON, INCORPORATED
Primary Firm SEC Registration
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193 / SEC#: 801-71936
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 15
Date: 11/15/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 1
Date: 12/10/1962
Registered Representative ExaminationSeries 40
Date: 12/6/1967
Registered Principal ExaminationSeries 12
Date: 11/15/1967
NYSE Branch Manager ExaminationCurrent Firm
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193 / SEC#: 801-71936
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
