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Ahmad Wares

CRD#: 2959624
Some features on this profile are disabled
AW
Ahmad Wares

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.

Ahmad Wares, who also goes by Kevin Wares, was a registered financial professional .

Ahmad is a previously registered financial professional and started their career in finance in 1998. Ahmad had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Wares

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

Past

April 10, 2017 - August 28, 2020

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
Melville, NY
Past

December 15, 2015 - March 23, 2017

SW FINANCIAL

BD
CRD#: 145012
Melville, NY
Past

September 25, 2012 - December 28, 2015

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
LONDON,
Past

October 12, 2010 - October 12, 2012

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

April 9, 2008 - February 3, 2009

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
MELVILLE, NY
Past

August 23, 2007 - April 4, 2008

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MELVILLE, NY
Past

November 30, 2005 - August 6, 2007

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
UNIONDALE, NY
Past

January 23, 2002 - December 13, 2005

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

January 30, 1998 - January 24, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1997
General Securities Representative Examination

Current Firm

WC
WORDEN CAPITAL MANAGEMENT LLC
WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366 / SEC#: , 8-68010

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
WORDEN, JAMIE JOHNCEO, MEMBER4637404
BODKIN, GREGORY PATRICKCCO3008389
BORGNER, RICHARD REISSCOO/MUNICIPAL PRINCIPAL/ROSFP1104666
CUCCIA, GARY JOHNFINOP1386493

Disclosures

Regulatory Event6
Arbitration12

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.

Company Information

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

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