Bernard H. Ward

MISCHLER FINANCIAL GROUP

Stamford, CT 06902

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CRD#: 1533118

Professional summary

Bernard Henry Ward, who also goes by Bernie Ward, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Bernard is registered as a RR (Registered Representative) and started their career in finance in 1996. Bernard has worked at 16 firms and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bernie Ward

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernard Henry 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®

None

Experience

Current

October 20, 2020 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902

CRD#: 37818

Stamford, CT

Past

July 2, 2020 - October 16, 2020

R. SEELAUS & CO., LLC

CRD#: 14974

Chatham, NJ

Past

October 24, 2019 - June 16, 2020

BANCROFT CAPITAL, LLC

RIA

CRD#: 290665

FORT WASHINGTON, PA

Past

June 26, 2018 - June 16, 2020

BANCROFT CAPITAL, LLC

CRD#: 290665

FORT WASHINGTON, PA

Past

September 26, 2011 - June 20, 2018

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

Past

March 18, 2011 - September 21, 2011

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

NEW YORK, NY

Past

October 4, 2010 - February 16, 2011

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

CONSHOHOCKEN, PA

Past

October 4, 2010 - February 16, 2011

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

CONSHOHOCKEN, PA

Past

October 16, 2007 - October 4, 2010

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

PHILADELPHIA, PA

Past

October 16, 2007 - October 4, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

PHILADELPHIA, PA

Past

December 17, 2004 - October 17, 2007

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

WAYNE, PA

Past

December 17, 2004 - October 17, 2007

FERRIS, BAKER WATTS, LLC

CRD#: 285

WAYNE, PA

Past

November 8, 2004 - December 17, 2004

INTERCAPITAL SECURITIES LLC

CRD#: 20004

JERSEY CITY, NJ

Past

January 16, 2004 - November 11, 2004

STARBOARD CAPITAL MARKETS, LLC

CRD#: 36907

PHILADELPHIA, PA

Past

February 5, 2003 - December 18, 2003

BOENNING & SCATTERGOOD, INC.

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

November 22, 2002 - February 20, 2003

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

ARDMORE, PA

Past

March 18, 2002 - February 20, 2003

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

June 20, 2000 - March 21, 2002

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

September 7, 1999 - June 13, 2000

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

PHILADELPHIA, PA

Past

April 24, 1998 - September 2, 1999

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 3, 1997 - April 27, 1998

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 27, 1996 - October 8, 1997

SHAY GOVERNMENT SECURITIES CO.

CRD#: 27214

Past

September 27, 1996 - October 8, 1997

SHAY FINANCIAL SERVICES CO.

CRD#: 27215

IRVING, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(10/20/2020)

Connecticut
(1/5/2021)

Delaware
(2/23/2022)

Florida
(1/15/2021)

Massachusetts
(2/23/2022)

New Jersey
(2/2/2021)

New York
(1/15/2021)

North Carolina
(3/2/2023)

Pennsylvania
(10/20/2020)

Virginia
(12/2/2020)

Wisconsin
(2/23/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Mailing Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Phone number

(949) 720-0640

Established

California since 11/22/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAMBERLAIN, DEAN ARTHUR	CHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN	2262338
HOLMES, DOYLE LAVERN	PRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR	1556260
GTS FINANCIAL LLC	OWNER

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Bernard H. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernard Henry Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

R. SEELAUS & CO., LLC

BANCROFT CAPITAL, LLC

BANCROFT CAPITAL, LLC

DREXEL HAMILTON, LLC

COHEN & COMPANY SECURITIES, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

INTERCAPITAL SECURITIES LLC

STARBOARD CAPITAL MARKETS, LLC

BOENNING & SCATTERGOOD, INC.

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

JANNEY MONTGOMERY SCOTT LLC

TD WEALTH MANAGEMENT SERVICES INC.

A. G. EDWARDS & SONS, INC.

OPPENHEIMER & CO. INC.

SHAY GOVERNMENT SECURITIES CO.

SHAY FINANCIAL SERVICES CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2000

Series 63

Date: 6/9/1997

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/10/1997

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MISCHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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