BW
Brent A. Ward
FOUNDATIONS INVESTMENT ADVISORS LLC
Wilton, CA
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CRD#: 2781771
BW
Professional summary
Brent Allen Ward is a registered financial advisor currently at FOUNDATIONS INVESTMENT ADVISORS LLC located in Wilton, California.
Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brent has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.BRENT A WARD FINANCIAL & INSURANCE SERVICES INC: AWARD FINANCIAL GROUP, 9905 SORRENTINO DR, ELK GROVE, CA, 7/31/1995 AS INDEPENDENT INSURANCE AGENT SELLING LIFE, LTC, FIXED ANNUITY, & DISABILITY INSURANCE PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 30 HR/WK - 20/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 30/WK - 4/TRADING. 05/02/16. 3. Elk Grove Adult Community Training 8810 Elk Grove BLVD Elk Grove, CA. 9/19/2017. AS BOARD Director/FINANCE COMMITTEE MEMBER. Not investment related, 2/monthly, 0/trading 4.BRENT A. WARD REAL ESTATE LICENSE, 9700 Cosumnes Road, Wilton CA 95693, United States, START DATE: 07/01/2021, Realtor, Real Estate, INV REL, 0 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Brent Allen Ward's 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®
NoneExperience
Current
June 20, 2025 - Present
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
Wilton, CA
Past
October 7, 2024 - June 20, 2025
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
Wilton, CA
Past
May 2, 2016 - October 3, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Wilton, CA
Past
May 2, 2016 - October 3, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Wilton, CA
Past
January 14, 2015 - August 23, 2016
THE RETIREMENT GROUP, LLC
RIA
CRD#: 148296
ELK GROVE, CA
Past
December 4, 2014 - May 3, 2016
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ELK GROVE, CA
Past
April 1, 2008 - December 9, 2014
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
ELK GROVE, CA
Past
March 31, 2008 - December 9, 2014
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
ELK GROVE, CA
Past
December 1, 2006 - February 6, 2008
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
ELK GROVE, CA
Past
May 12, 2005 - November 17, 2006
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
ELK GROVE, CA
Past
May 12, 2005 - November 17, 2006
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
ELK GROVE, CA
Past
January 26, 2000 - January 26, 2004
FDX ADVISORS, INC.
RIA
CRD#: 104601
SACRAMENTO, CA
Past
January 25, 2000 - October 16, 2003
LONDON PACIFIC SECURITIES, INC.
BD
CRD#: 25089
SACRAMENTO, CA
Past
January 1, 1999 - January 25, 2000
MACKEN SECURITIES, INC.
BD
CRD#: 13390
ROSEVILLE, CA
Past
November 5, 1998 - February 12, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
September 17, 1997 - October 14, 1998
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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".
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040
Mailing Address
Phone number
(480) 626-2979
Established
Firm type
Fiscal year end
# of Employees
284
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,653 |
| AUM (Assets Under Management) | $ 7,184,472,288 |
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.
