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George Ball

Sanders Morris LLC
56 Years of Experience
Dallas, TX
5 DisclosuresBroker
View SEC Summary
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George Ball is a registered investment advisor at Sanders Morris LLC, based in Dallas, TX, with 56 years of industry experience. George is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 4 more. Their firm serves 127 clients with $580M in assets under management.

Sanders Morris LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
15 advisors
Number of Clients
127 clients
Average Client Portfolio
$4.5M average
Assets Under Management
$576.1M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K3.00%
$500K - $1.0M2.25%
$1.0M - $2.0M1.90%
$2.0M - $5.0M1.70%
$5M+1.50%

Schedules reflect maximum total program fees for wrap fee programs. Fees are negotiable for higher asset levels. Specific platforms have varying tier structures and third-party manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5950 Sherry Lane, Suite 470, Dallas, TX, 75225

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 1994
Settled
Customer Dispute
August 1993
Settled
Customer Dispute
February 1993
Settled
Customer Dispute
April 1992
Settled
Regulatory
May 1988
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

George is a director/officer of Sewell Development Group LLC since 2013 and a board member of Global Financial Services, LLC since 2014. These activities are investment-related and require minimal time.

Employment History
Current Registrations
Sanders Morris LLC
August 2011 - Present · 15 yrs 2 mos
Sanders Morris LLCBroker
March 1992 - Present · 34 yrs 7 mos
Previous Registrations
Global Financial Services, L.L.C.Broker
January 2011 - September 2016 · 5 yrs 8 mos
Smith Barney Shearson INC.Broker
April 1993 - February 1994 · 10 mos
Prudential Securities IncorporatedBroker
August 1982 - September 1991 · 9 yrs 1 mo
E. F. Hutton & Company INCBroker
December 1969 - July 1982 · 12 yrs 7 mos
State Registrations13 states
COCTDCFLMDMENJNYOHPRTXVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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