Richard A. 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.
Richard Aloysius Ward, who also goes by Richard A Ward Jr, Richard Aloysius Ward Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 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
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ABN AMRO SECURITIES (USA) LLC
CRD#: 151796 / SEC#: , 8-68398
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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