Mark A. Ward

LUCIEN STIRLING & GRAY ADVISORY GROUP

AUSTIN, TX 78751

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CRD#: 3248303

Professional summary

Mark Allen Ward, CFP® is a registered financial advisor currently at LUCIEN STIRLING & GRAY ADVISORY GROUP INC located in Austin, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 28, Series 53 and Series 24 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.

A-WARD ASSETS, LLC; NON-INVESTMENT RELATED; BUSINESS ADDRESS: 3440 RIBBON REEF LANE, AUSTIN, TX 78728; MAILING ADDRESS: PO BOX 49852, AUSTIN, TX 78765; OWNER/PRESIDENT; 11/01/10; ONE OR TWO HOURS ON WEEKENDS/ NOT DURING TRADING HOURS; USE PERSONAL MONEY TO BUY RESIDENTIAL REAL ESTATE PROPERTIES AND RENT THEM FOR PROFIT WHEN POSSIBLE, CHECK MAIL FOR RENT CHECKS AND COMPLY WITH ANY REASONABLE RENTER'S REQUESTS WHEN APPROPRIATE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Ward's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

August 27, 2003 - Present

LUCIEN STIRLING & GRAY ADVISORY GROUP INC

Office #1: 4005 Guadalupe St., Austin, TX 78751Office #2: 7800 N. Mopac Expy Suite 340, Austin, TX 78759

RIA

CRD#: 112641

AUSTIN, TX

Past

July 17, 2000 - December 31, 2017

LUCIEN, STIRLING & GRAY FINANCIAL CORPORATION

CRD#: 30554

AUSTIN, TX

Past

July 21, 1999 - August 27, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 21, 1999 - August 27, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LUCIEN STIRLING & GRAY ADVISORY GROUP INC

CRD#: 112641 / SEC#: 801-79381

RIA

Registered Investment Advisory firm - (4/3/2014 Approved)

Texas

Registered Investment Advisory firm - (5/16/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(8/27/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/16/2015

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 28

Date: 11/4/2013

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/20/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2005

General Securities Principal Examination

Current Firm

LUCIEN STIRLING & GRAY ADVISORY GROUP INC

CRD#: 112641 / SEC#: 801-79381

RIA

Registered Investment Advisory firm - (4/3/2014 Approved)

Texas

Registered Investment Advisory firm - (5/16/2014 Terminated)

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Contact information

Main Address

7800 N. Mopac Expy Suite 340, Austin, TX 78759

Mailing Address

Phone number

(512) 458-2517

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PT IIA 170314 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	599
AUM (Assets Under Management)	$ 130,909,613

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUCIEN, STIRLING & GRAY FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LUCIEN STIRLING & GRAY ADVISORY GROUP INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2002

Series 63

Date: 7/27/1999

SIE

Date: 12/31/2017

Series 7

Date: 7/20/1999

Series 27

Date: 10/16/2015

Series 28

Date: 11/4/2013

Series 53

Date: 12/20/2005

Series 24

Date: 10/4/2005

Current Firm

LUCIEN STIRLING & GRAY ADVISORY GROUP INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUCIEN STIRLING & GRAY ADVISORY GROUP INC

TRUST BUT VERIFY

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