Michelle S. 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.
Michelle S Ball, who also goes by Michelle Simon Ball, Michelle Simon, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2002. Michelle had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2013 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 3, 2013 - December 23, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 7, 2011 - August 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2011 - August 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2009 - September 7, 2010
CHASE INVESTMENT SERVICES CORP.
July 24, 2009 - September 7, 2010
CHASE INVESTMENT SERVICES CORP.
October 7, 2005 - November 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2005 - November 13, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2002 - November 24, 2004
1717 CAPITAL MANAGEMENT COMPANY
October 21, 2002 - December 31, 2005
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
June 28, 2002 - November 24, 2004
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
