Frederick D. Ball

FD BALL INVESTMENT ADVISORS

LAS VEGAS, NV

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CRD#: 4526888

Professional summary

Frederick D Ball is a registered financial advisor currently at FD BALL INVESTMENT ADVISORS, LLC located in Las Vegas, Nevada.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Frederick has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 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.

ENITY: LIFE VANTAGE INC; NATURE: HEALTH & WELLNESS PRODUCTS SALES; POSITION: DISTRIBUTOR; STARTED: 5/2010; HOURS: 5/MO; NON-SECURITIES RELATED ENTITY: WELL SOURCE LLC; NATURE: HEALTH & WELLNESS PRODUCTS; POSITION: OWNER; STARTED: 5/2010; HOURS: 5; NON-SECURITIES RELATED ENTITY: SELF; NATURE: FIXED INSURANCE SALES; STARTED: 5/2006;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick D 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®

None

Experience

Current

February 1, 2011 - Present

FD BALL INVESTMENT ADVISORS, LLC

RIA

CRD#: 155944

LAS VEGAS, NV

Past

November 24, 2010 - June 15, 2012

GRADIENT SECURITIES, LLC

CRD#: 127701

LAS VEGAS, NV

Past

March 1, 2010 - December 7, 2010

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

LAS VEGAS, NV

Past

September 4, 2002 - December 7, 2010

WORLD GROUP SECURITIES, INC.

CRD#: 114473

LAS VEGAS, NV

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
(8/11/2020)

IAR

Nevada
(2/1/2011)

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 65

Date: 1/25/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/3/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FD BALL INVESTMENT ADVISORS, LLC

BALL, FREDERICK D | FD BALL INVESTMENT ADVISORS, LLC

CRD#: 155944 / SEC#:

California

Registered Investment Advisory firm - (8/10/2020 Approved)

Nevada

Registered Investment Advisory firm - (2/1/2011 Approved)

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Contact information

Main Address

Las Vegas, NV

Mailing Address

Phone number

(702) 336-3301

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 1,800,597

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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Frederick D. Ball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick D Ball's CRS (Customer Relationship Summary).

Certified licenses

Experience

FD BALL INVESTMENT ADVISORS, LLC

GRADIENT SECURITIES, LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2010

Series 63

Date: 9/23/2002

Series 6

Date: 9/3/2002

Current Firm

FD BALL INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FD BALL INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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