April M. 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.
April May Ward, who also goes by April May Sternberg, was a registered financial professional .
April is a previously registered financial professional and started their career in finance in 1996. April had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2005 - August 4, 2016
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
October 6, 1999 - May 16, 2000
WELLS FARGO SECURITIES INC.
October 6, 1999 - May 16, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 31, 1996 - January 20, 1998
WELLS FARGO SECURITIES INC.
Primary Firm SEC Registration
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
CRD#: 111320 / SEC#: 801-54265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
CRD#: 111320 / SEC#: 801-54265
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,732 |
| AUM (Assets Under Management) | $ 3,100,176,318 |
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.
