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JB

James C. Ball

Some features on this profile are disabled
CRD#: 1543903
JB

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.

James Churchill Ball, who also goes by Jay Ball, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1987. James had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Ball

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 3, 1999 - December 14, 2007

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
RICHMOND, VA
Past

September 29, 1993 - August 18, 2017

DORSEY, WRIGHT & ASSOCIATES, LLC

RIA
CRD#: 104925
RICHMOND, VA
Past

March 23, 1992 - September 18, 1997

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

January 21, 1987 - June 7, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/15/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination

Current Firm

NS
NORTHEAST SECURITIES, LLC
NORTHEAST SECURITIES, INC. | NORTHEAST SECURITIES, LLC

CRD#: 25996 / SEC#: , 8-42227

BD
Terminated by SEC on 01/29/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/11/2017
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INSIGNEO FINANCIAL SERVICES, LLCSHAREHOLDER
ALMERINI, LOUIS ACHILLEFINOP1605183
DIAMANTIS, JOHN MCHAIRMAN1310200
DUFFY, PAUL EDWARDPRESIDENT2227111
O'ROURKE, CHARLES MICHAELSECRETARY733917
STICE, HAROLD EUGENECHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP1349210

Disclosures

Regulatory Event16
Arbitration11

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.

Company Information

NORTHEAST SECURITIES, LLC

CRD#: 25996

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