Ward M. Wilson
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.
Ward Michael Wilson was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1983. Ward had worked at 2 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 1995 - January 20, 1997
QUICK & REILLY, INC.
May 24, 1983 - June 27, 1995
CPA ADVISORS NETWORK, INC.
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
Series 1
Date: 4/21/1969
Registered Representative ExaminationCurrent Firm
QUICK & REILLY, INC.
CRD#: 11217 / SEC#: , 8-17986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUICK & REILLY/FLEET SECURITIES, INC. | 100% SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | EXECUTIVE VICE PRESIDENT | 1079745 |
| CONWAY, JOSEPH FRANCIS | SROP | 1299116 |
| DORFMAN, BETH ELYSE | GENERAL COUNSEL & SECRETARY | 1299764 |
| GOLDMEER, MICHELE | SENIOR COUNSEL & ASSISTANT SECRETARY | 4273410 |
| GREGOR, STANLEY ANTHONY | PRESIDENT /CEO | 1672974 |
| LOUKAS, RONALD STANSBURY | MUNICIPAL PRINCIPAL | 1054716 |
| MATTIA, GERARD | CHIEF OPERATING OFFICER | 4728053 |
| MOYNIHAN, BRIAN | BOARD MEMBER | 4553207 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER | 1821188 |
| SCHRODER, ALAN ARTHUR SR. | DIRECTOR | 801763 |
| TEMPLE, CYNTHIA JO | CHIEF OPERATIONS OFFICER | 2444506 |
| WINTHER, TORBEN OLELERCHE | CHIEF COMPLIANCE OFFICER | 1821483 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 2 |
| Arbitration | 10 |
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.
