Barry D. Ward
Professional summary
Barry Daniel Ward is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.
Barry is registered as a RR (Registered Representative) and started their career in finance in 2007. Barry has worked at 1 firm and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Barry Daniel Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2014 - Present
TJM INVESTMENTS, LLC
Office #1: 318 W. Adams Street Suite 900, Chicago, IL 60606January 24, 2007 - October 9, 2013
TJM INVESTMENTS, LLC
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
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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