Richard M. Ward
Professional summary
Richard Michael Ward, who also goes by M Richard Ward, Richard M Ward, is a registered financial professional currently at REGAL SECURITIES, INC. located in Glenview, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1968. Richard has worked at 5 firms and has passed the Series 7TO, Series 99TO, SIE, Series 1, Series 24, Series 27 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2018 - Present
REGAL SECURITIES, INC.
Office #1: 950 Milwaukee Ave. Suite 102, Glenview, IL 60025January 22, 2014 - January 3, 2018
L.M. KOHN & COMPANY
September 16, 1983 - April 7, 2014
WARD'S FINANCIAL SERVICES, LTD.
April 5, 1983 - August 29, 1983
MESIROW FINANCIAL, INC.
November 11, 1968 - March 17, 1983
INLAND SECURITIES COMPANY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/8/2018)
(1/25/2018)
(4/19/2018)
(6/11/2018)
(6/6/2018)
(6/18/2018)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 11/6/1968
Registered Representative ExaminationSeries 00
Date: 12/8/1971
General Securities Principal ExaminationFINRA
Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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