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John Ball

Senior Vice President, Fund Administration at Gabelli Funds

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

John Ball is Senior Vice President, Fund Administration of Gabelli Funds, LLC, a Rye investment adviser managing $24.6B. John Ball has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Gabelli Funds

Title on Schedule A
Senior Vice President, Fund Administration
Control
John Ball is a control person of Gabelli Funds.
Ownership
An individual ownership band is not available in the source record.
Tenure
John Ball has held the filed role since January 2020.

The firm

Gabelli Funds, LLC
Rye, NY

Form ADV filed 14 July 2026

$24.6B AUM33 clients47 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 7TO and Series 24 · 2020
  2. Passed SIE · 2018
  3. Passed Series 99 · 2017
  4. Passed Series 7 and Series 63 · 1998

Registrations and exams

Broker registration; no current adviser registration. John Ball has passed 6 qualifying exams.

Examinations

Series 632 December 1998
Name
Uniform Securities Agent State Law Examination
Series 2430 October 2020
Name
General Securities Principal Examination
Series 7TO1 July 2020
Name
General Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 9930 August 2017
Name
Operations Professional Examination
Series 730 November 1998
Name
General Securities Representative Examination

Individual record

Full name
John Chester Ball
CRD
3153792
Firm
Gabelli Funds, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does John Ball work?

John Ball has been Senior Vice President, Fund Administration of Gabelli Funds, LLC since January 2020, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 July 2026

Does John Ball have a current investment-adviser registration?

John Ball has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has John Ball passed?

John Ball has passed 6 licensing exams: the Series 7, Series 63, Series 99, SIE, Series 7TO and Series 24. The earliest, the Series 7, was passed in November 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Gabelli Funds

Sources

  1. IAPD individual record, CRD 3153792. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Gabelli Funds, LLC, filed 14 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with John Ball or Gabelli Funds, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.