Ray A. Ball

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CRD#: 5922344

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.

Ray Alvin Ball, who also goes by Ray A Ball, was a registered financial professional .

Ray is a previously registered financial professional and started their career in finance in 2011. Ray had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ray A Ball

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 14, 2020 - April 24, 2020

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Whittier, NC

Past

April 10, 2019 - June 5, 2019

SPECIALIZED ADVISORS

RIA

CRD#: 299308

Dillsboro, NC

Past

November 29, 2018 - April 9, 2019

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Tucson, AZ

Past

August 8, 2018 - November 27, 2018

CORECAP ADVISORS

RIA

CRD#: 158819

Sylva, NC

Past

August 3, 2018 - November 27, 2018

CORECAP INVESTMENTS, LLC

CRD#: 37068

SOUTHFIELD, MI

Past

August 7, 2017 - July 24, 2018

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Sylva, NC

Past

March 4, 2013 - February 21, 2017

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Hendersonville, NC

Past

February 26, 2013 - February 21, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Hendersonville, NC

Past

July 24, 2012 - February 28, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

FLOWOOD, MS

Past

September 16, 2011 - February 28, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

FLOWOOD, MS

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".

BROOKSTONE CAPITAL MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC

CRD#: 141413 / SEC#: 801-68010

RIA

Registered Investment Advisory firm - (6/20/2007 Approved)

Arizona

Registered Investment Advisory firm - (6/25/2007 Terminated)

Arkansas

Registered Investment Advisory firm - (7/3/2007 Terminated)

California

Registered Investment Advisory firm - (6/26/2007 Terminated)

Illinois

Registered Investment Advisory firm - (6/20/2007 Terminated)

Indiana

Registered Investment Advisory firm - (6/25/2007 Terminated)

Nevada

Registered Investment Advisory firm - (7/19/2007 Terminated)

Ohio

Registered Investment Advisory firm - (6/25/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/20/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (7/25/2007 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2007 Terminated)

Virginia

Registered Investment Advisory firm - (7/6/2007 Terminated)

Washington

Registered Investment Advisory firm - (6/25/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/25/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/15/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC | XL ADVISORS LLC

CRD#: 141413 / SEC#: 801-68010

RIA

Registered Investment Advisory firm - (6/20/2007 Approved)

Arizona

Registered Investment Advisory firm - (6/25/2007 Terminated)

Arkansas

Registered Investment Advisory firm - (7/3/2007 Terminated)

California

Registered Investment Advisory firm - (6/26/2007 Terminated)

Illinois

Registered Investment Advisory firm - (6/20/2007 Terminated)

Indiana

Registered Investment Advisory firm - (6/25/2007 Terminated)

Nevada

Registered Investment Advisory firm - (7/19/2007 Terminated)

Ohio

Registered Investment Advisory firm - (6/25/2007 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/20/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (7/25/2007 Terminated)

Texas

Registered Investment Advisory firm - (6/25/2007 Terminated)

Virginia

Registered Investment Advisory firm - (7/6/2007 Terminated)

Washington

Registered Investment Advisory firm - (6/25/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/25/2007 Terminated)

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Contact information

Main Address

1745 S. Naperville Road Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

395

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A, APPENDIX 1 - WRAP BROCHURE (7/30/2025)

BROOKSTONE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (7/30/2025)

Regulatory assets under management

Total Number of Accounts	73,650
AUM (Assets Under Management)	$ 10,409,137,908

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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Advisor Monitoring

Firm Stability Insights

Ray A. Ball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPECIALIZED ADVISORS

SECURE INVESTMENT MANAGEMENT, LLC

CORECAP ADVISORS

CORECAP INVESTMENTS, LLC

SECURE INVESTMENT MANAGEMENT, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

BROOKSTONE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2012

Series 63

Date: 9/1/2011

SIE

Date: 10/1/2018

Series 6

Date: 9/15/2011

Current Firm

BROOKSTONE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKSTONE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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