Richard A. Ward
Professional summary
Richard A Ward, who also goes by Richard A Ward Jr, Richard Aloysius Ward, Richard Aloysius Ward Jr, is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in Syosset, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard A Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2026 - Present
DAVID LERNER ASSOCIATES, INC.
Office #1: 477 Jericho Turnpike, Syosset, NY 11791-4510August 16, 2019 - January 24, 2024
ABN AMRO SECURITIES (USA) LLC
December 14, 2015 - February 28, 2019
GLOBAL FRONTERA MARKETS INC.
April 14, 2015 - August 13, 2015
MARTEL CAPITAL, LLC
November 23, 1999 - May 28, 2013
NABSECURITIES, LLC
September 18, 1996 - September 16, 1999
CHASE INVESTMENT SERVICES CORP.
August 1, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
July 29, 1994 - August 1, 1994
IFMG SECURITIES, 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
(3/24/2026)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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