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RW

Richard A. Ward

CURATED WEALTH PARTNERS
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 4783852
RW

Professional summary

Richard Alan Ward is a registered financial advisor currently at CURATED WEALTH PARTNERS, LLC located in El Segundo, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan 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

September 13, 2018 - Present

CURATED WEALTH PARTNERS, LLC

Office #1: 2101 E El Segundo Blvd. Suite 501, El Segundo, CA 90245
RIA
CRD#: 297852
El Segundo, CA
Past

November 16, 2015 - September 18, 2018

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
LOS ANGELES, CA
Past

September 17, 2015 - September 18, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
LOS ANGELES, CA
Past

August 3, 2010 - August 24, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

October 25, 2007 - August 5, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LOS ANGELES, CA
Past

October 5, 2007 - August 5, 2010

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
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".
CW
CURATED WEALTH PARTNERS, LLC
CURATED WEALTH PARTNERS, LLC | SHERLOCK ADVISORS, LLC

CRD#: 297852 / SEC#: 801-113890

RIA
Registered Investment Advisory firm - (8/28/2018 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
(9/13/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/16/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2007
General Securities Representative Examination

Current Firm

CW
CURATED WEALTH PARTNERS, LLC
CURATED WEALTH PARTNERS, LLC | SHERLOCK ADVISORS, LLC

CRD#: 297852 / SEC#: 801-113890

RIA
Registered Investment Advisory firm - (8/28/2018 Approved)
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Contact information

Main Address
2101 E El Segundo Blvd. Suite 501, El Segundo, CA 90245
Mailing Address
Phone number
(310) 356-0830
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR CURATED WEALTH PARTNERS, LLC (2/5/2025)

Regulatory assets under management

Total Number of Accounts328
AUM (Assets Under Management)$ 1,448,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/02/2024
Cover Page
Report
09/11/2023
Cover Page
Report
11/28/2022
Cover Page
Report

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.

Company Information

CURATED WEALTH PARTNERS, LLC

CRD#: 297852El Segundo, CA 90245

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