Brian E. 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.
Brian Edward Ball was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2008. Brian had worked at 1 firm and has passed the Series 66, SIE, Series 55 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
August 12, 2008 - February 18, 2015
CHRISTOPHER WEIL & COMPANY, INC.
July 25, 2008 - February 18, 2015
CHRISTOPHER WEIL & COMPANY, INC.
Primary Firm SEC Registration
CHRISTOPHER WEIL & COMPANY, INC.
CRD#: 22090 / SEC#: 801-42757, 8-39523
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 55
Date: 10/10/2008
Limited Representative-Equity Trader ExamCurrent Firm
CHRISTOPHER WEIL & COMPANY, INC.
CRD#: 22090 / SEC#: 801-42757, 8-39523
Contact information
SEC notice filing (13 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CW-CW 2009 IRREVOCABLE TRUST | OWNER | |
| CW-KW 2009 IRREVOCABLE TRUST | OWNER | |
| CW-MW 2009 IRREVOCABLE TRUST | OWNER | |
| PW-CW 2009 IRREVOCABLE TRUST | OWNER | |
| PW-KW 2009 IRREVOCABLE TRUST | OWNER | |
| PW-MW 2009 IRREVOCABLE TRUST | OWNER | |
| GORDON, LAURA THERESA | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 1370406 |
| WEIL, CHRISTOPHER FRANCIS | CHAIRMAN, TREASURER | 461585 |
| WELLS, JOHN VIANNEY | PRESIDENT & CEO, COMPLIANCE OFFICER CORPORATE: SECRETARY | 2139802 |
Regulatory assets under management
| Total Number of Accounts | 1,515 |
| AUM (Assets Under Management) | $ 823,560,128 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2025 | ||
| 02/26/2024 | ||
| 04/06/2023 |
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.
