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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

CINDY BALL TOSHIE

Advisor at IBN ASSET MANAGEMENT, LLC

Winter Springs, FL | THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:06b20258-99ff-bf63-4ee8-9e764aa1533f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: IBN ASSET MANAGEMENT, LLC
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 3, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 3, 2001
First registration: Dec 20, 2001
Dual registered: yes, broker-dealer
Other names: CINDY ANN BALL|CINDY ANN BALL
IAPD individual key: 4397969

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
IBN ASSET MANAGEMENT, LLC	Other adviser	Nov 1, 2022	n/a	yes	THOUSAND OAKS, CA\|Winter Springs, FL	Current employment
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Feb 1, 2016	Oct 1, 2020	no	DALLAS, TX\|Winter Springs, FL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 14, 2005	Jan 26, 2016	no	BIRMINGHAM, AL	Previous registration
STERNE, AGEE & LEACH, INC.	n/a	Oct 29, 2004	Aug 8, 2005	no	OVIEDA, FL	Previous registration
RYAN BECK & CO.	n/a	Dec 20, 2001	Oct 27, 2004	no	OVIEDO, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PROSPERA FINANCIAL SERVICES, INC.	IBN ASSET MANAGEMENT, LLC	Oct 1, 2020	Nov 1, 2022	761	Firm change after gap	Other
STERNE AGEE ASSET MANAGEMENT, INC.	PROSPERA FINANCIAL SERVICES, INC.	Jan 26, 2016	Feb 1, 2016	6	Firm change	Other
STERNE, AGEE & LEACH, INC.	STERNE AGEE ASSET MANAGEMENT, INC.	Aug 8, 2005	Mar 14, 2005	-147	Firm change after gap	Other
RYAN BECK & CO.	STERNE, AGEE & LEACH, INC.	Oct 27, 2004	Oct 29, 2004	2	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
130888:10740:AL:2016-01-26	Jan 26, 2016	Feb 1, 2016	BIRMINGHAM, AL	Firm change

Relationships

Registered with (5)

→ IBN ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Nov 1, 2022 to presentfactForm ADV
→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 1, 2016 to Oct 1, 2020factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 14, 2005 to Jan 26, 2016factForm ADV
→ STERNE, AGEE & LEACH, INC.Registered adviserregistration: previous registration
Oct 29, 2004 to Aug 8, 2005factForm ADV
→ RYAN BECK & CO.Registered adviserregistration: previous registration
Dec 20, 2001 to Oct 27, 2004factForm ADV

Dated events

No dated event names this entity yet.