Michael 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.
Michael Maurice Ward, who also goes by Mike Ward, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1997. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2011 - January 25, 2017
DELTA SECURITIES COMPANY LLC
March 3, 2008 - December 24, 2008
I(DEA) GROUP SECURITIES LLC
November 21, 2002 - October 3, 2005
GLOBAL ASSETS ADVISORS, LLC
September 9, 1997 - February 24, 2010
INTERNATIONAL ASSETS ADVISORY, LLC
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
Series 28
Date: 11/12/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DELTA SECURITIES COMPANY LLC
CRD#: 145511 / SEC#: , 8-67733
Contact information
Documents
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 | 1 |
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.
