John S. 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.
John Scott Ward was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 9 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 4, Series 8, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2010 - October 19, 2012
EIM SECURITIES (USA) INC.
October 21, 2004 - November 4, 2010
NOMURA SECURITIES INTERNATIONAL, INC.
September 4, 2003 - February 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 1999 - September 4, 2001
GLENWOOD SECURITIES, INC.
July 28, 1997 - May 10, 1999
W. P. STEWART SECURITIES LLC
April 28, 1997 - July 28, 1997
W. P. STEWART & CO., INC.
June 6, 1995 - June 13, 1997
EUROPA SECURITIES, LLC
September 7, 1994 - April 10, 1995
W. P. STEWART & CO., INC.
July 31, 1993 - July 21, 1994
CITIGROUP GLOBAL MARKETS INC.
August 20, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
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
Series 55
Date: 8/17/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 11/15/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EIM SECURITIES (USA) INC.
CRD#: 40065 / SEC#: , 8-48974
Contact information
Documents
Red Flags
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