Robert W. Ward

FOUNTAIN FINANCIAL GROUP

Apple Valley, MN

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CRD#: 4324025

Professional summary

Robert William Ward, ChFC®, who also goes by Bob Ward, is a registered financial advisor currently at FOUNTAIN FINANCIAL GROUP, INC. located in Apple Valley, Minnesota.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Robert has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Ward

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.

Robert William Ward, has a financial industry affiliated business as a licensed insurance agent. Approximately 10% of Mr. Ward's time is spent in this practice. From time to time, he will offer clients advice or products from this activity. Oaks Financial Services; 7800 133rd Street W, Apple Valley, MN 55124; CEO; Consulting with other Advisors regarding Retirement Income Strategies for a fee; Investment Related; Started 08/2015; Approximately 70% of time spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William 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®

CRD#: 18387

EAGAN, MN

Past

March 7, 2001 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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

Minnesota
(2/13/2017)

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 66

Date: 3/8/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2001

General Securities Representative Examination

Current Firm

FOUNTAIN FINANCIAL GROUP, INC.

CRD#: 123364 / SEC#:

Arizona

Registered Investment Advisory firm - (10/14/2003 Approved)

Minnesota

Registered Investment Advisory firm - (4/8/2016 Approved)

North Dakota

Registered Investment Advisory firm - (11/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/6/2020 Approved)

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).

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Contact information

Main Address

16921 E Palisades Blvd Suite 105, Fountain Hills, AZ 85268

Mailing Address

P.o. Box 17656, Fountain Hills, AZ 85269

Phone number

(480) 837-5971

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	374
AUM (Assets Under Management)	$ 36,600,000

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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Robert W. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert William Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNTAIN FINANCIAL GROUP, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2001

SIE

Date: 5/19/2015

Series 7

Date: 3/3/2001

Current Firm

FOUNTAIN FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FOUNTAIN FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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