PW
Phil G. Ward
ST. BERNARD FINANCIAL SERVICES
Tulsa, OK 74136
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CRD#: 4141511
PW
Professional summary
Phil Galen Ward is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Tulsa, Oklahoma.
Phil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Phil has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 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.
DBA WARD FINANCIAL SERVICES, LLC; INVESTMENT RELATED; 2522 E 71ST STR, TULSA, OK 74136; INVESTMENTS, FINANCIAL & ESTATE PLANNING; OWNER; START 12/04/2000; APPROX 80 HRS/MTH; APPROX 80 HRS/MTH DURING SECURITIES TRADING; APPOINTED WITH VARIOUS LIFE, ACCIDENT & HEALTH INSURANCE COMPANIES. WARD & COMPANY,PLLC; NON-INVESTMENT; 2522 E. 71ST STR, TULSA,OK 74136; CPA FIRM; OWNER; START 01/1977; APPROX 230 HRS/MTH; APPROX 175 HRS/MTH DURING SECURITIES TRADING; ACCOUNTING & CONSULTING. TAX DEPOT, LLC; NON-INVESTMENT; 2522 E. 71ST ST., TULSA, OK 74136; TAX PREPARATION; OWNER; START DATE 11/15/2004; APPROX 1 HRS/MTH; APPROX 1 HRS/MTH DURING SECURITIES TRADING; ADMINISTRATIVE DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Phil Galen Ward's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phil Galen Ward's 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®
NoneExperience
Current
December 1, 2015 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 2522 E. 71st St, Tulsa, OK 74136Office #2: 2522 E. 71st St, Tulsa, OK 74136RIA
BD
CRD#: 36956
Tulsa, OK
Current
November 30, 2015 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 2522 E. 71st St, Tulsa, OK 74136RIA
BD
CRD#: 36956
Tulsa, OK
Past
November 1, 2006 - December 1, 2015
FIRST INDEPENDENT ADVISORY SERVICES, INC.
RIA
CRD#: 132678
TULSA, OK
Past
October 27, 2006 - December 1, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
BD
CRD#: 128904
TULSA, OK
Past
October 31, 2005 - November 9, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
TULSA, OK
Past
November 8, 2001 - December 12, 2006
ASSET & INVESTMENT ADVISORS, INC.
RIA
CRD#: 115776
TULSA, OK
Past
June 25, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 15, 2000 - July 23, 2001
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Kansas(1/28/2019)
IAR
Kansas(1/31/2019)
RR
Missouri(2/21/2023)
IAR
Missouri(3/25/2025)
RR
Oklahoma(12/1/2015)
IAR
Oklahoma(12/1/2015)
RR
Texas(12/7/2015)
IAR
Texas(7/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956Tulsa, OK 74136TRUST BUT VERIFY
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