Ward E. Fonrose
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.
Ward Emerson Fonrose was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1987. Ward had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - March 15, 2022
HARRISDIRECT LLC
October 11, 2012 - March 15, 2022
E*TRADE SECURITIES LLC
February 14, 2012 - September 27, 2012
WTS PROPRIETARY TRADING GROUP LLC
October 20, 2008 - July 13, 2011
HARRISDIRECT LLC
April 4, 2006 - July 13, 2011
E*TRADE SECURITIES LLC
September 23, 2005 - March 28, 2006
CITICORP INVESTMENT SERVICES
April 5, 2005 - August 1, 2005
EQUITABLE ADVISORS, LLC
March 8, 2005 - August 1, 2005
EQUITABLE ADVISORS, LLC
June 20, 2003 - September 17, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
June 14, 2000 - March 3, 2003
WORLDCO, L.L.C.
July 31, 1993 - April 8, 1999
CITIGROUP GLOBAL MARKETS INC.
December 22, 1987 - July 31, 1993
LEHMAN BROTHERS 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
Series 55
Date: 6/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
