Harcourt S. 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.
Harcourt St Paul Ward, who also goes by Ward S Harcourt, Paul Ward, was a registered financial professional .
Harcourt is a previously registered financial professional and started their career in finance in 1986. Harcourt had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2002 - December 31, 2003
CADARET, GRANT & CO., INC.
December 10, 2002 - October 9, 2013
CADARET, GRANT & CO., INC.
June 21, 2002 - December 12, 2002
NATIONAL PLANNING CORPORATION
May 27, 1999 - December 12, 2002
NATIONAL PLANNING CORPORATION
November 6, 1995 - June 3, 1999
ADVANTAGE CAPITAL CORPORATION
April 25, 1986 - April 22, 1994
TOWER SQUARE SECURITIES, INC.
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
