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DR

Deborah F. Reed

Some features on this profile are disabled
CRD#: 2835600
DR

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.

Deborah Fassler Reed, who also goes by Deborah Marie Fassler, was a registered financial professional .

Deborah is a previously registered financial professional and started their career in finance in 1997. Deborah had worked at 3 firms and has passed the Series 63, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Deborah Marie Fassler

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

June 15, 2005 - December 31, 2016

BALL & COMPANY

RIA
CRD#: 133950
THOUSAND OAKS, CA
Past

February 11, 1999 - May 29, 2007

LPL FINANCIAL LLC

RIA
CRD#: 6413
THOUSAND OAKS, CA
Past

January 27, 1999 - May 29, 2007

LPL FINANCIAL LLC

BD
CRD#: 6413
THOUSAND OAKS, CA
Past

January 20, 1997 - January 28, 1999

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA

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".
B&
BALL & COMPANY
BALL & COMPANY | REED & BALL, INC. | LANG WEALTH MANAGEMENT | BALL & COMPANY WEALTH MANAGEMENT, INC.

CRD#: 133950 / SEC#: 801-78146

RIA
Registered Investment Advisory firm - (6/4/2013 Approved)
California
Registered Investment Advisory firm - (7/12/2013 Terminated)
Texas
Registered Investment Advisory firm - (6/12/2013 Terminated)

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
RR
Series 63
Date: 1/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 9/16/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2003
General Securities Principal Examination

Current Firm

B&
BALL & COMPANY
BALL & COMPANY | REED & BALL, INC. | LANG WEALTH MANAGEMENT | BALL & COMPANY WEALTH MANAGEMENT, INC.

CRD#: 133950 / SEC#: 801-78146

RIA
Registered Investment Advisory firm - (6/4/2013 Approved)
California
Registered Investment Advisory firm - (7/12/2013 Terminated)
Texas
Registered Investment Advisory firm - (6/12/2013 Terminated)
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Contact information

Main Address
Brentwood, TN
Mailing Address
2000 Mallory Suite 130-399, Franklin, TN 37067
Phone number
(805) 376-2779
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (2/4/2025)

Regulatory assets under management

Total Number of Accounts451
AUM (Assets Under Management)$ 191,202,907

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

BALL & COMPANY

CRD#: 133950

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