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Michael Lee Ball

Stifel, Nicolaus & Company, Incorporated

Morristown, NJ

CRD 3187251

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2020-07-30
TX RA APPROVED_RES 2020-03-19
NJ RA APPROVED 2012-11-13
  • PA RA
    APPROVED
    Since 2020-07-30
  • TX RA
    APPROVED_RES
    Since 2020-03-19
  • NJ RA
    APPROVED
    Since 2012-11-13

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Florham Park NJ 07/2011 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-12
S63 Uniform Securities Agent State Law Examination 2002-04-12
  • S66 Uniform Combined State Law Examination
    2012-11-12
  • S63 Uniform Securities Agent State Law Examination
    2002-04-12

View on SEC IAPD

Nearby Firms

EDWARD JONES
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC
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Nearby Investors

Jason Phillip Beswick
Eric Lee Brubaker
FRANK Charles WARD

Nearby Offices

EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ

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