Patrick 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.
Patrick Ward, who also goes by Patrick T Ward, Patrick Thomas Ward, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1994. Patrick had worked at 10 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2025 - April 20, 2026
CF SECURED, LLC
May 19, 2025 - April 20, 2026
CANTOR FITZGERALD & CO.
May 7, 2020 - February 19, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 3, 2011 - May 13, 2020
RBC CAPITAL MARKETS, LLC
September 2, 2009 - February 23, 2011
DEUTSCHE BANK SECURITIES INC.
October 1, 2008 - August 24, 2009
J.P. MORGAN SECURITIES LLC
March 12, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
March 3, 2004 - March 19, 2008
GOLDMAN SACHS & CO. LLC
February 18, 2004 - March 1, 2004
SLK-HULL DERIVATIVES LLC
May 18, 1994 - February 6, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/19/2004
Limited Representative-Equity Trader ExamCurrent Firm
CF SECURED, LLC
CRD#: 285841 / SEC#: , 8-69863
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CF SECURED HOLDINGS, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFIER/GLOBAL HEAD OF EQUITIES | 4424051 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 1 |
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.
