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Brent A. Ward

WILTON, CA 95693
CRD#: 2781771
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BW
Brent Allen Ward

Professional summary

Brent Allen Ward was a registered financial advisor .

Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brent had worked at 15 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

June 1, 2026 - Present

Office #1: 9700 Cosumnes Road, Wilton, CA 95693
WILTON, CA
Past

June 20, 2025 - May 29, 2026

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

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
(6/1/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/21/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/31/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/10/1997
Investment Company Products/Variable Contracts Representative Examination

Current firm

No current employment

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

No current employment

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