AdFi
DR

David Robert Ball

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Princeton, NJCRD #5575461Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
38 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 38 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaIowaKansasMaineMarylandMassachusettsMichiganMinnesotaMississippiNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/2/2008
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/17/2008
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 12/18/2013
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 11/27/2013

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
5/21/2010Princeton, NJ
INVEST FINANCIAL CORPORATION
1/29/20105/25/2010Philadelphia, PA
EDWARD JONES
10/3/200810/29/2009Souderton, PA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Showing 12 of 25660 in the directory

View MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Robert Ball has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David Robert Ball - Financial Advisor in Princeton, NJ | AdvisorFinder