MB
Michael A. Ball
CROSS STATE FINANCIAL GROUP LLC
TEMPE, AZ 85282
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CRD#: 2500989
MB
Professional summary
Michael Anthony Ball, AIF® is a registered financial advisor currently at CROSS STATE FINANCIAL GROUP LLC located in Tempe, Arizona.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) BALL FINANCIAL GROUP - AGENT - INSURANCE SALES AND SERVICE - SINCE 07/1990 - PHOENIX, AZ. - INVESTMENT RELATED--- 2) A TO Z STAMPS, LLC - MEMBER - SALE OF STAMPS AND SUPPLIES - TEMPE, AZ - SINCE 06/2005 - NOT INVESTMENT RELATED 3) BALL FINANCIAL GROUP, LLC - Owner Agent - Non-Variable insurance - Tempe AZ - Since 6/1/1990 - INVESTMENT RELATED 4) MICHAEL AND CECILIA BALL TRUST DATED 7/12/2019 - TRUSTEE - ACTING IN A FIDUCIARY CAPACITY - PHOENIX, AZ - SINCE 07/2019 - INVESTMENT RELATED 5) BALL FINANCIAL GROUP, LLC - President - Estate Planning - Tempe AZ - Since 7/1998 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Michael Anthony Ball's 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®
Experience
Current
April 6, 2022 - Present
CROSS STATE FINANCIAL GROUP LLC
Office #1: 430 E. Southern Ave., Tempe, AZ 85282RIA
CRD#: 282011
TEMPE, AZ
Past
March 12, 2020 - April 12, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
TEMPE, AZ
Past
December 20, 2000 - April 12, 2022
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
TEMPE, AZ
Past
December 7, 1999 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 30, 1998 - December 9, 1999
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
March 12, 1996 - October 6, 1998
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
September 2, 1994 - December 31, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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".
CS
CROSS STATE FINANCIAL GROUP LLC
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011 / SEC#: 801-117843
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Arizona
Registered Investment Advisory firm - (11/22/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/22/2021 Terminated)Florida
Registered Investment Advisory firm - (11/22/2021 Terminated)Michigan
Registered Investment Advisory firm - (11/23/2021 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2021 Terminated)South Dakota
Registered Investment Advisory firm - (11/22/2021 Terminated)Texas
Registered Investment Advisory firm - (11/22/2021 Terminated)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
Arizona(4/6/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CS
CROSS STATE FINANCIAL GROUP LLC
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011 / SEC#: 801-117843
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Arizona
Registered Investment Advisory firm - (11/22/2021 Terminated)Colorado
Registered Investment Advisory firm - (11/22/2021 Terminated)Florida
Registered Investment Advisory firm - (11/22/2021 Terminated)Michigan
Registered Investment Advisory firm - (11/23/2021 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2021 Terminated)South Dakota
Registered Investment Advisory firm - (11/22/2021 Terminated)Texas
Registered Investment Advisory firm - (11/22/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6721 Academy Rd. Ne Suite B, Albuquerque, NM 87109
Mailing Address
8424 S. Yukon St., Littleton, CO 80128
Phone number
(800) 621-6974
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,028 |
| AUM (Assets Under Management) | $ 166,767,480 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CROSS STATE FINANCIAL GROUP LLC
CRD#: 282011Tempe, AZ 85282TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
