Wade F. Ward
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wade Fitzgerald Ward JR, CFP®, who also goes by Gerry Ward, was a registered financial professional .
Wade is a previously registered financial professional and started their career in finance in 1983. Wade had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
July 18, 2013 - December 31, 2024
ANCHOR INVESTMENT MANAGEMENT
May 5, 2004 - December 1, 2006
PRINCIPAL SECURITIES, INC.
January 1, 2004 - August 6, 2013
WARD FINANCIAL ADVISORS, LTD.
August 13, 1984 - May 13, 2004
NEW ENGLAND SECURITIES
August 24, 1983 - July 23, 1984
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
ANCHOR INVESTMENT MANAGEMENT
CRD#: 135296 / SEC#: 801-64338
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ANCHOR INVESTMENT MANAGEMENT
CRD#: 135296 / SEC#: 801-64338
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,043 |
| AUM (Assets Under Management) | $ 1,358,433,102 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
