Kenneth A. 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.
Kenneth Andrew Ward, who also goes by Ken Ward, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1999. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2012 - November 3, 2023
THE L. WARNER COMPANIES, INC
June 17, 2011 - February 20, 2023
M HOLDINGS SECURITIES, INC.
August 31, 2005 - April 28, 2011
TRIAD ADVISORS LLC
December 3, 2004 - May 11, 2005
USI SECURITIES, INC.
August 27, 1999 - December 2, 2004
OSAIC FS, INC.
Primary Firm SEC Registration
THE L. WARNER COMPANIES, INC
CRD#: 108001 / SEC#: 801-56965
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
THE L. WARNER COMPANIES, INC
CRD#: 108001 / SEC#: 801-56965
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 385 |
| AUM (Assets Under Management) | $ 744,609,071 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/18/2025 | ||
| 07/10/2024 | ||
| 10/16/2023 |
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.
