DW
David M. Ward
BROOKSIDE STRATEGY AND CONSULTING
BURBANK, CA
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CRD#: 1555648
DW
Professional summary
David Michael Ward is a registered financial advisor currently at BROOKSIDE STRATEGY AND CONSULTING located in Burbank, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. David has worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 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. NAME OF OTHER BUSINESS: CFA SOCIETY OF LOS ANGELES; INVESTMENT RELATED: NO; ADDRESS: LOS ANGELES, CA 90071; NATURE OF BUSINESS: EDUCATION / CFA PROGRAM; START DATE: 01/2006; POSITION/TITLE/RELATIONSHIP: COORDINATOR AND INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PROVIDE INSTRUCTION FOR CFA CANDIDATES FOR THE CFA REVIEW PROGRAM; 2. NAME OF OTHER BUSINESS: YMCA OF THE FOOTHILLS; INVESTMENT RELATED: NO; ADDRESS: LA CANADA, CA 91011; NATURE OF BUSINESS: HEALTH, ATHLETIC, EDUCATIONAL, AND OTHER RELATED COMMUNITY SERVICES; START DATE: 06/2006; POSITION/TITLE/RELATIONSHIP: MEMBER OF HERITAGE CLUB / PLANNED GIVING COMMITTEE AND DEVELOPMENT COMMITTEE; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: FUNDRAISING EFFORTS FOR THE LOCAL YMCA. DUTIES INCLUDE MEETING AND HELPING WITH SELECTED EVENTS AND ACTIVITIES; 3. NAME OF OTHER BUSINESS: DAVID WARD, INDIVIDUAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: POLICY WITH PACIFIC LIFE THAT WAS PLACED PRIOR TO MY REGISTRATION WITH MY PRIOR FIRM. THIS OUTSIDE ACTIVITY ACCOMMODATES THAT POLICY; START DATE: 01/2021; POSITION/TITLE/RELATIONSHIP: INDIVIDUAL INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: POLICY WITH PACIFIC LIFE THAT WAS PLACED PRIOR TO MY REGISTRATION WITH MY PRIOR FIRM. THIS OUTSIDE ACTIVITY ACCOMMODATES THAT POLICY; 4. NAME OF OTHER BUSINESS: VERDUGO HILLS COUNCIL - BOY SCOUTS OF AMERICA; INVESTMENT RELATED: NO; ADDRESS: GLENDALE, CA 91201; NATURE OF BUSINESS: BOY SCOUTS OF AMERICA / PROVIDE PROGRAMMING, EDUCATION AND COMMUNITY SERVICES TO BOYS AND GIRLS IN THE LOCAL COMMUNITY; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: MEMBER OF FINANCE COMMITTEE, INVESTMENT COMMITTEE AND MEMBERSHIP COMMITTEE / ASSISTANT SCOUT MASTER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES. PROVIDE PLANNING AND OVERSIGHT ACTIVITIES FOR COUNCIL;
CRS (Client Relationship Summary) - RIA
Click below to view David Michael 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
December 17, 2024 - Present
BROOKSIDE STRATEGY AND CONSULTING
RIA
CRD#: 334060
BURBANK, CA
Past
February 23, 2024 - October 16, 2024
SOVRAN ADVISORS, LLC
RIA
CRD#: 329415
Pasadena, CA
Past
February 22, 2024 - October 30, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PASADENA, CA
Past
February 2, 2021 - March 6, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
PASADENA, CA
Past
January 29, 2021 - March 6, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PASADENA, CA
Past
January 19, 2017 - February 4, 2021
OSAIC FA, INC.
RIA
CRD#: 3978
GLENDALE, CA
Past
December 27, 2016 - February 4, 2021
OSAIC FA, INC.
BD
CRD#: 3978
GLENDALE, CA
Past
September 20, 1999 - February 1, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 26, 1993 - August 24, 1998
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
Past
November 7, 1989 - November 13, 1991
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
April 5, 1989 - November 7, 1989
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
October 7, 1986 - January 13, 1988
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
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.Highlighted states indicate IAR registrations
IAR
California(12/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BS
BROOKSIDE STRATEGY AND CONSULTING
BROOKSIDE STRATEGY AND CONSULTING | BROOKSIDE STUDIOS LLC
CRD#: 334060 / SEC#: 801-131639
RIA
Registered Investment Advisory firm - (8/2/2025 Terminated)California
Registered Investment Advisory firm - (7/23/2025 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Burbank, CA
Mailing Address
Phone number
(818) 429-7419
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 22,070,000 |
Red Flags
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