James L. Ward

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CRD#: 2366852

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.

James Leo Ward was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1993. James had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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

December 11, 2020 - October 17, 2024

RETIREMENT PLANNERS OF AMERICA

RIA

CRD#: 157222

PLANO, TX

Past

September 10, 2007 - July 7, 2020

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

San Rafael, CA

Past

August 11, 1993 - December 1, 2004

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

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".

RETIREMENT PLANNERS OF AMERICA

MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA

Registered Investment Advisory firm - (4/4/2011 Approved)

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

IAR

Series 65

Date: 9/7/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/9/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/2001

General Securities Principal Examination

Current Firm

RETIREMENT PLANNERS OF AMERICA

MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA

Registered Investment Advisory firm - (4/4/2011 Approved)

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Contact information

Main Address

2820 Dallas Parkway, Plano, TX 75093

Mailing Address

Phone number

(469) 246-3600

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/28/2025)

ADV PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,760
AUM (Assets Under Management)	$ 3,975,227,271

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James L. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RETIREMENT PLANNERS OF AMERICA

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

RETIREMENT PLANNERS OF AMERICA

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/2007

Series 63

Date: 8/13/1993

Series 7

Date: 8/9/1993

Series 24

Date: 6/28/2001

Current Firm

RETIREMENT PLANNERS OF AMERICA

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNERS OF AMERICA

TRUST BUT VERIFY

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