Brian J. 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.
Brian James Ward was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - June 30, 2015
CAPITAL DYNAMICS BROKER DEALER LLC
December 5, 2008 - October 22, 2012
COMMONFUND SECURITIES, INC.
November 18, 2002 - February 23, 2004
UBS FINANCIAL SERVICES INC.
October 3, 2002 - February 23, 2004
UBS FINANCIAL SERVICES INC.
January 13, 2001 - October 14, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
November 8, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
July 31, 1993 - November 14, 1996
CITIGROUP GLOBAL MARKETS INC.
May 21, 1991 - 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
Current Firm
CAPITAL DYNAMICS BROKER DEALER LLC
CRD#: 148780 / SEC#: , 8-68071
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
