Herman H. Ward
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.
Herman Hulon Ward, who also goes by Herman H Ward, Herman Hulon Ward Jr, Sonny Ward Jr, Sonny Ward, was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1987. Herman had worked at 15 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2012 - November 29, 2012
WORLD CHOICE SECURITIES, INC.
September 4, 2009 - May 28, 2010
AVANTAX INVESTMENT SERVICES, INC.
April 21, 2005 - March 5, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 4, 2003 - December 17, 2004
CURIAN CAPITAL, LLC
February 4, 2003 - December 17, 2004
INVESTMENT CENTERS OF AMERICA, INC.
July 9, 2001 - July 1, 2002
DIRECTED SERVICES LLC
August 29, 2000 - July 10, 2001
VOYA FINANCIAL PARTNERS, LLC
May 3, 1999 - August 21, 2000
PARK AVENUE SECURITIES LLC
March 5, 1999 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
June 18, 1997 - December 9, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 18, 1997 - December 9, 1998
OSAIC FA, INC.
August 19, 1992 - December 9, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 19, 1992 - December 9, 1998
OSAIC FA, INC.
June 6, 1992 - August 24, 1992
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
January 1, 1991 - June 5, 1992
MONY SECURITIES CORPORATION
March 13, 1987 - June 7, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 13, 1987 - June 7, 1989
EQUITABLE ADVISORS, 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
Current Firm
WORLD CHOICE SECURITIES, INC.
CRD#: 30933 / SEC#: , 8-45235
Contact information
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 24,955,000 |
Disclosures
| Regulatory Event | 2 |
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.
