Thomas J. Ward
Professional summary
Thomas Joseph Ward, who also goes by Thomas J Ward, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2025 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601March 7, 2018 - January 5, 2022
FIRST LIBERTIES FINANCIAL
May 21, 2014 - October 14, 2016
CV BROKERAGE, INC
March 4, 2010 - April 9, 2012
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
March 4, 2009 - February 18, 2010
PRITCHARD CAPITAL PARTNERS, LLC
September 18, 2008 - December 31, 2008
J.P. MORGAN CLEARING CORP.
July 9, 2002 - February 11, 2009
J.P. MORGAN SECURITIES LLC
March 27, 2002 - June 21, 2002
DOMINARI SECURITIES LLC
June 11, 1999 - April 26, 2000
EGS SECURITIES CORP.
September 24, 1984 - July 31, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2025)
(4/25/2025)
Exams
Series 5
Date: 11/7/1984
Interest Rate Options ExaminationSeries 15
Date: 9/28/1984
Foreign Currency Options ExaminationFINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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