JW
James D. Ward
EVERETT HARRIS & CO
Los Angeles, CA 90017
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CRD#: 4332957
JW
Professional summary
James Douglas Ward is a registered financial advisor currently at EVERETT HARRIS & CO located in Los Angeles, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 1 firm .
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.
YES - MR. WARD IS A GENERAL PARTNER OF RAINBOW CAPITAL MANAGEMENT, LLC, WHICH PROVIDES INVESTMENT MANAGEMENT SERVICES TO A PRIVATE INVESTMENT FUND, NAMED RAINBOW FUND, LP. RAINBOW CAPITAL MANAGEMENT, LLC ALSO OPERATES FROM 888 W. SIXTH ST., 10TH FLR., LOS ANGELES, CA 90017. MR. WARD SPENDS APPROXIMATELY 10% OF HIS TIME PROVIDING SERVICES TO THE RAINBOW FUND.
CRS (Client Relationship Summary) - RIA
Click below to view James Douglas 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
July 8, 1997 - Present
EVERETT HARRIS & CO
Office #1: 801 South Figueroa Street Suite 2050, Los Angeles, CA 90017RIA
CRD#: 106830
Los Angeles, CA
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".
EH
EVERETT HARRIS & CO
EVERETT HARRIS & CO
CRD#: 106830 / SEC#: 801-853
RIA
Registered Investment Advisory firm - (11/1/1940 Approved)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
California(7/8/1997)
Exams
Current Firm
EH
EVERETT HARRIS & CO
EVERETT HARRIS & CO
CRD#: 106830 / SEC#: 801-853
RIA
Registered Investment Advisory firm - (11/1/1940 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
801 South Figueroa Street Suite 2050, Los Angeles, CA 90017
Mailing Address
Phone number
(213) 625-2677
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,884 |
| AUM (Assets Under Management) | $ 10,897,570,758 |
Red Flags
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