Edward V. 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.
Edward Vere Ward was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1985. Edward had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 22 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
June 12, 2015 - October 7, 2015
NATIONWIDE SECURITIES, LLC
September 22, 2014 - November 5, 2014
SIGNATOR INVESTORS, INC.
June 24, 2014 - November 5, 2014
SIGNATOR INVESTORS, INC.
August 20, 2013 - March 19, 2014
PROSPERITY CAPITAL ADVISORS
April 18, 2002 - June 12, 2006
ALLSTATE FINANCIAL SERVICES, LLC
March 22, 2001 - February 28, 2002
LASALLE ST SECURITIES, L.L.C.
January 4, 2001 - March 15, 2001
FIRST BANKERS' BANC SECURITIES, INC
October 21, 1998 - October 11, 2000
HUNTLEIGH SECURITIES CORPORATION
March 25, 1997 - October 21, 1998
WALNUT STREET SECURITIES, INC.
July 24, 1985 - March 21, 1997
MML INVESTORS SERVICES, LLC
May 30, 1985 - August 26, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
