Unclaimed Profile

James C Ball

LAS OLAS CAPITAL ADVISORS, LLC·FORT LAUDERDALE, Florida

SIE, Series 4, Series 7, Series 24, Series 51, Series 52TO, Series 53, Series 66, Series 99TOClean record24 years registeredLAS OLAS CAPITAL ADVISORS, LLC

888 EAST LAS OLAS BLVD, FORT LAUDERDALE, FL 33301CRD# 4434124Firm CRD# 175077

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James C Ball · FORT LAUDERDALE, FL

Registration

CRD #4434124 · LAS OLAS CAPITAL ADVISORS, LLC · 24 years registered

Brand Profile

Not yet started

Career History

OSAIC WEALTH, INC.

Jun 2024 – present

SECURITIES AMERICA ADVISORS, INC.

Dec 2022 – Jun 2024

CHARLOTTE, NC

WOODBURY FINANCIAL SERVICES, INC.

Mar 2019 – Dec 2022

CHARLOTTE, NC

QUESTAR ASSET MANAGEMENT, INC.

Jan 2017 – Mar 2019

CHARLOTTE, NC

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Oct 2010 – Jan 2017

CHARLOTTE, NC

SECURIAN FINANCIAL SERVICES, INC.

Dec 2006 – Oct 2010

CHARLOTTE, NC

BANC OF AMERICA INVESTMENT SERVICES, INC.

Mar 2006 – Nov 2006

CHARLOTTE, NC

SECURIAN FINANCIAL SERVICES, INC.

Jun 2002 – Aug 2005

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 51

Series 52TO

Series 53

Series 66

Series 99TO

Registration record

First registered · June 21, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LAS OLAS CAPITAL ADVISORS, LLC

CRD 175077 · SEC 801-100492

AUM

$374M

Regulatory assets under management

Employees

33 client accounts

Services offered by LAS OLAS CAPITAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at LAS OLAS CAPITAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does James C Ball offer?

James C Ball specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in FORT LAUDERDALE, Florida for a consultation.

What are James C Ball's credentials?

James C Ball is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James C Ball located?

James C Ball is based in FORT LAUDERDALE, Florida, working with LAS OLAS CAPITAL ADVISORS, LLC. Their office serves clients in the FORT LAUDERDALE metropolitan area and surrounding communities.

How does James C Ball charge for services?

James C Ball's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LAS OLAS CAPITAL ADVISORS, LLC?

LAS OLAS CAPITAL ADVISORS, LLC has approximately 7 employees and manages $374M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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