MW
Michael D. Ward
VANDERBILT ADVISORY SERVICES
Woodbury, NY 11797
Some features on this profile are disabled
CRD#: 1425173
MW
Professional summary
Michael David Ward is a registered financial advisor currently at VANDERBILT ADVISORY SERVICES located in Woodbury, New York and VANDERBILT SECURITIES, LLC located in Woodbury, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) John Brower Jr. Foundation. Not investment related. Start date: 12/15/2017. Address: 125 Froehlich Farm Blvd. Woodbury NY, 11797. Title: Board of directors. Duties: i raise money to fight Opioid abuse on Long Island . I am on the board. Time spent during regular hours: 5%. 2) American Centurian Financial LLC (a registered Advisor with NYS) - Senior Business Consultant, no remuneration, time - only as needed <5 hrs per month, no client contact.
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Ward's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 28, 2015 - Present
VANDERBILT ADVISORY SERVICES
Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797RIA
CRD#: 116537
Woodbury, NY
Current
July 17, 2015 - Present
VANDERBILT SECURITIES, LLC
Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797Office #2: 125 Froehlich Farm Blvd., Woodbury, NY 11797BD
CRD#: 5953
Woodbury, NY
Past
October 23, 2012 - July 20, 2015
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
MELVILLE, NY
Past
April 13, 2011 - July 20, 2015
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
CRD#: 14169
MELVILLE, NY
Past
October 5, 2010 - December 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
MELVILLE, NY
Past
August 19, 2002 - October 6, 2010
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
MELVILLE, NY
Past
July 29, 1994 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
September 18, 1990 - July 19, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 26, 1990 - October 11, 1990
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
February 28, 1989 - January 29, 1990
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
February 15, 1989 - March 10, 1989
INVESTORS CENTER, INC.
BD
CRD#: 14670
Past
February 11, 1988 - December 1, 1988
INVESTORS CENTER, INC.
BD
CRD#: 14670
Past
January 26, 1987 - February 20, 1988
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
Past
December 2, 1986 - February 10, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Past
December 16, 1985 - December 9, 1986
ROONEY, PACE INC.
BD
CRD#: 6218
Past
October 22, 1985 - January 14, 1986
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/17/2015)
RR
Connecticut(7/23/2015)
RR
Florida(7/17/2015)
RR
Massachusetts(8/11/2015)
RR
Michigan(7/17/2015)
RR
New Jersey(7/17/2015)
RR
New York(7/17/2015)
IAR
New York(4/7/2021)
RR
Tennessee(1/10/2018)
RR
Virginia(3/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,470 |
| AUM (Assets Under Management) | $ 2,111,673,883 |
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.
