Thomas J. Ward

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CRD#: 1628495

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.

Thomas Joseph Ward was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2020 - October 3, 2023

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

Akron, OH

Past

July 16, 2020 - October 3, 2023

VALMARK SECURITIES, INC.

CRD#: 31243

Cincinnati, OH

Past

September 3, 2013 - July 23, 2020

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CINCINNATI, OH

Past

September 3, 2013 - July 23, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CINCINNATI, OH

Past

April 10, 2007 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

CINCINNATI, OH

Past

December 8, 2003 - December 31, 2006

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

CINCINNATI, OH

Past

December 2, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

CINCINNATI, OH

Past

January 4, 1994 - November 24, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

April 1, 1991 - December 31, 1993

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

November 20, 1990 - April 1, 1991

PW SECURITIES, INC.

CRD#: 6775

Past

March 7, 1990 - November 19, 1990

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

March 7, 1990 - November 19, 1990

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

November 14, 1989 - January 30, 1990

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

July 20, 1988 - November 11, 1989

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/26/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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

Thomas J. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALMARK SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

PW SECURITIES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CETERA WEALTH SERVICES, LLC

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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