Michael Maurice Ward
Professional Summary
Michael Maurice Ward, who also goes by Mike Ward, was a registered financial advisor. Michael was a previously registered financial advisor and started their career in finance 1997 - 2017. Michael had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7, Series 24, Series 53, Series 28, Series 4 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Ward
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
79 CAPITAL SECURITIES, LLC | DELTA SECURITIES COMPANY LLC | CAPITAL INNOVATIONS SECURITIES, LLC
Contact Information
Established
Delaware since 08/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA SECURITIES GROUP LLC | OWNER | — |
| LOW SPARK CAPITAL, LLC | OWNER | — |
| TWH VENTURES, LLC | OWNER | — |
| NICHOLSON, MYRA PEARLE | PRESIDENT, CCO, FINOP | 2740029 |
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Oct 2011About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Nov 2001About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 2001About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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