James W. Ward

ARCADIA SECURITIES

New York, NY 10022

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CRD#: 2459878

Professional summary

James William Clark Ward, who also goes by Jake Ward, is a registered financial professional currently at ARCADIA SECURITIES, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jake Ward

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) - BD

Click below to view James William Clark Ward's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 23, 2019 - Present

ARCADIA SECURITIES, LLC

Office #1: 600 Lexington Avenue 30th Floor, New York, NY 10022

CRD#: 44656

New York, NY

Past

November 20, 2017 - May 25, 2019

CIM SECURITIES, LLC

CRD#: 120852

New York, NY

Past

October 18, 2017 - March 6, 2018

THE VERTICAL GROUP

CRD#: 104353

RED BANK, NJ

Past

November 1, 2010 - September 23, 2015

LEERINK PARTNERS LLC

CRD#: 39011

NEW YORK, NY

Past

August 11, 2010 - October 28, 2010

ABG SUNDAL COLLIER INC.

CRD#: 30605

NEW YORK, NY

Past

June 14, 2004 - August 4, 2010

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

May 9, 1995 - July 2, 2002

DEUTSCHE IXE, LLC

CRD#: 7172

NEW YORK, NY

Past

November 14, 1994 - May 5, 1995

NEBRASKA HUDSON COMPANY, INC.

CRD#: 27501

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/24/2019)

Colorado
(6/28/2019)

Connecticut
(6/21/2019)

Delaware
(9/13/2019)

Massachusetts
(5/24/2019)

New Jersey
(8/6/2019)

New York
(6/20/2019)

Pennsylvania
(5/20/2021)

Exams

State Security Law Exam

Series 63

Date: 12/5/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/12/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/11/1994

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ARCADIA SECURITIES, LLC

ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1370 Avenue Of The Americas 29th Fl, New York, NY 10019

Mailing Address

1370 Avenue Of The Americas 29th Fl, New York, NY 10019

Phone number

(212) 231-4101

Established

New York since 11/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KIKIS, THOMAS PETER	MANAGER, SOLE MEMBER, GSP & PRESIDENT	1198536
CHRISTAKOS, BASIL	CHIEF COMPLIANCE OFFICER	2290795
KONTULIS, CHARLES PHEDON II	MANAGING DIRECTOR	1327613
KONTULIS, CHARLES PHEDON II	ROSFP	1327613
SCHILLING, MICHAEL JAMES	FINOP, PFO, POO	2609624

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James W. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James William Clark Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

CIM SECURITIES, LLC

THE VERTICAL GROUP

LEERINK PARTNERS LLC

ABG SUNDAL COLLIER INC.

KNIGHT CAPITAL AMERICAS, L.P.

DEUTSCHE IXE, LLC

NEBRASKA HUDSON COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2017

SIE

Date: 10/1/2018

Series 55

Date: 4/12/2000

Series 7

Date: 11/11/1994

FINRA

Nasdaq Stock Market

Current Firm

ARCADIA SECURITIES, LLC

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARCADIA SECURITIES, LLC

TRUST BUT VERIFY

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