Christopher B. Ballard

CHECK CAPITAL MANAGEMENT

Costa Mesa, CA 92626-7685

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CRD#: 4196518

Professional summary

Christopher Blair Ballard, CFP®, who also goes by Chris Ballard Cbb, Chris Ballard, is a registered financial advisor currently at CHECK CAPITAL MANAGEMENT INC located in Costa Mesa, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Christopher has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Ballard Cbb | Chris Ballard

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) - RIA

Click below to view Christopher Blair Ballard'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

August 10, 2012 - Present

CHECK CAPITAL MANAGEMENT INC

Office #1: 575 Anton Blvd Ste 500, Costa Mesa, CA 92626-7685

RIA

CRD#: 107058

Costa Mesa, CA

Past

September 21, 2009 - December 6, 2012

GREEN THUMB FINANCIAL

RIA

CRD#: 150957

CARLSBAD, CA

Past

May 9, 2002 - May 5, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MISSION VIEJO, CA

Past

May 9, 2002 - May 5, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

MISSION VIEJO, CA

Past

July 13, 2000 - April 10, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

CHECK CAPITAL MANAGEMENT INC

CRD#: 107058 / SEC#: 801-29001

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

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

California
(8/10/2012)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/7/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 8/16/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/12/2000

General Securities Representative Examination

Current Firm

CHECK CAPITAL MANAGEMENT INC

CRD#: 107058 / SEC#: 801-29001

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

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Contact information

Main Address

575 Anton Blvd Ste 500, Costa Mesa, CA 92626-7685

Mailing Address

Phone number

(714) 641-3579

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03/26/25 ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,311
AUM (Assets Under Management)	$ 2,093,504,641

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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Christopher B. Ballard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Blair Ballard's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREEN THUMB FINANCIAL

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CHECK CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2000

Series 31

Date: 8/16/2000

Series 7

Date: 7/12/2000

Current Firm

CHECK CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHECK CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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