Brian D. Ward

W & S MANAGEMENT SERVICES

Rochester, NY 14612

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CRD#: 4704954

Professional summary

Brian Douglas Ward is a registered financial advisor currently at W & S MANAGEMENT SERVICES, INC. located in Rochester, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Brian has worked at 1 firm and has passed the Series 65 exam.

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.

WARD & SCHMERBECK P.C. CERTIFIED PUBLIC ACCOUNTANTS, 470 LONG POND RD STE 210, ROCHESTER, NY 14612. VICE PRESIDENT SINCE 1995, ENGAGED IN TAX ACCOUNTING WORK APPROXIMATELY 100 HOURS PER MONTH, PRIMARILY DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Douglas Ward's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 1, 2013 - Present

W & S MANAGEMENT SERVICES, INC.

Office #1: 470 Long Pond Road Suite 200, Rochester, NY 14612

RIA

CRD#: 127852

Rochester, NY

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".

W & S MANAGEMENT SERVICES, INC.

CRD#: 127852 / SEC#: 801-69165

RIA

Registered Investment Advisory firm - (5/21/2008 Approved)

New York

Registered Investment Advisory firm - (10/19/2000 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

Texas
(7/1/2013)

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 65

Date: 6/30/2004

Uniform Investment Adviser Law Examination

Current Firm

W & S MANAGEMENT SERVICES, INC.

CRD#: 127852 / SEC#: 801-69165

RIA

Registered Investment Advisory firm - (5/21/2008 Approved)

New York

Registered Investment Advisory firm - (10/19/2000 Approved)

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Contact information

Main Address

470 Long Pond Road Suite 200, Rochester, NY 14612

Mailing Address

Phone number

(585) 720-9971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

W&S INDIVIDUALS (3/30/2025)

Regulatory assets under management

Total Number of Accounts	427
AUM (Assets Under Management)	$ 134,400,000

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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Brian D. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Douglas Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

W & S MANAGEMENT SERVICES, INC.

Primary Firm SEC Registration

W & S MANAGEMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2004

Current Firm

W & S MANAGEMENT SERVICES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

W & S MANAGEMENT SERVICES, INC.

TRUST BUT VERIFY

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