HW
Howard F. Ward
GAMCO ASSET MANAGEMENT
RYE, NY 10580
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CRD#: 1059031
HW
Professional summary
Howard Frank Ward is a registered financial advisor currently at GAMCO ASSET MANAGEMENT INC. located in Rye, New York and G.DISTRIBUTORS, LLC located in Rye, New York.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Howard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)BOARD MEMBER CBB LLC, A LLC WHICH PROVIDES CHINESE ECONOMIC ANALYSIS, SINCE DECEMBER 2011. 0 TIME SPENT ON THIS ACTIVITY DURING TRADING HOURS. INVESTMENT RELATED. BUSINESS ACTIVITIES CONDUCTED OFF OF BRANCH PREMISES.(2) CO-TRUSTEE FOR THE EDWARD H. BRAGG JR.CREDIT SHELTER TRUST SINCE NOVEMBER 2013. APPROXIMATELY 2 MEETINGS PER YEAR. INVESTMENT RELATED. BUSINESS ACTIVITIES CONDUCTED OFF OF BRANCH PREMISES. (3) Heartcare International/Not Investment Related/139 East Putnam Ave, Greenwich, CT 06830/Head of Asset Management Committee and Board Member/Start date June 2019, Board Member as of Fall 2018/1 hour per month during non-securities trading hours/The committee expects to invest in pooled vehicles. (4) American Foundation for the Blind, Not investment related, 1401 South Clark Street, suite 730, Arlington VA 22202, Develop Programs to help the blind, volunteer member of Finance Committee, Start date should be February 2021, One hour per month, zero hours during securities trading hours, Duties include manager selection and evaluation and member of Finance Committee.
CRS (Client Relationship Summary) - RIA
Click below to view Howard Frank Ward's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 29, 2000 - Present
GAMCO ASSET MANAGEMENT INC.
Office #1: One Corporate Center, Rye, NY 10580RIA
CRD#: 104950
RYE, NY
Current
June 30, 2015 - Present
G.DISTRIBUTORS, LLC
Office #1: One Corporate Center, Rye, NY 10580BD
CRD#: 155071
Rye, NY
Past
March 14, 1995 - December 31, 2019
G.RESEARCH, LLC
BD
CRD#: 7353
RYE, NY
Past
August 5, 1982 - January 10, 1995
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GA
GAMCO ASSET MANAGEMENT INC.
GABELLI ASSET MANAGEMENT COMPANY | WOODLAND PARTNERS DIVISION OF GAMCO ASSET MANAGEMENT INC. | GAMCO INVESTORS, INC. | GAMCO INVESTORS INC | GAMCO ASSET MANAGEMENT INC.
CRD#: 104950 / SEC#: 801-14132
RIA
Registered Investment Advisory firm - (9/5/1978 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(2/29/2000)
RR
Utah(6/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GA
GAMCO ASSET MANAGEMENT INC.
GABELLI ASSET MANAGEMENT COMPANY | WOODLAND PARTNERS DIVISION OF GAMCO ASSET MANAGEMENT INC. | GAMCO INVESTORS, INC. | GAMCO INVESTORS INC | GAMCO ASSET MANAGEMENT INC.
CRD#: 104950 / SEC#: 801-14132
RIA
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Contact information
Main Address
191 Mason Street, Greenwich, CT 06830
Mailing Address
Phone number
(914) 921-5000
Established
Firm type
Fiscal year end
# of Employees
112
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,601 |
| AUM (Assets Under Management) | $ 11,465,946,000 |
Red Flags
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