John Scott Ward
Professional Summary
John Scott Ward was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1987 - 2012. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
E.I.M. (USA) INC. | EIM SECURITIES (USA) INC.
Contact Information
Established
Delaware since 10/11/1991Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 1999Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1995Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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