Robert A. 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.
Robert Allen Ward was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 6 firms and has passed the Series 63, SIE, 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
Experience
April 5, 2012 - September 8, 2020
BTIG, LLC
July 14, 2009 - March 21, 2012
PULSE TRADING, INC.
February 7, 2008 - November 10, 2008
PULSE TRADING, INC.
June 29, 2005 - January 25, 2008
G1 EXECUTION SERVICES, LLC
March 30, 1998 - April 7, 2005
LAZARD FRERES & CO. LLC
May 9, 1991 - March 17, 1998
UBS SECURITIES LLC
July 20, 1983 - April 4, 1991
MORGAN STANLEY & CO. LLC
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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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