Alex M. 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.
Alex Murray Ball, who also goes by Alexis M Ball, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2008. Alex had worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2014 - April 28, 2015
EDGECREST CAPITAL (USA) INC.
September 8, 2010 - February 7, 2013
UBS SECURITIES LLC
April 4, 2008 - June 1, 2010
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
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 37
Date: 4/3/2008
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
EDGECREST CAPITAL (USA) INC.
CRD#: 153978 / SEC#: , 8-68600
Contact information
Documents
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.
