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EW

E Hunter Ward

Some features on this profile are disabled
CRD#: 4874484
EW

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.

E Hunter Ward, who also goes by E Hunter Ward, E. Hunter Ward Jr., E. Hunter Ward, E. Hunter Ward Jr., Hunter Ward, Hunter Ward Jr., was a registered financial professional .

E Hunter is a previously registered financial professional and started their career in finance in 2005. E Hunter had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

E Hunter Ward | E. Hunter Ward Jr. | E. Hunter Ward | E. Hunter Ward Jr. | Hunter Ward | Hunter Ward Jr.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 1, 2010 - April 19, 2012

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

July 3, 2007 - May 28, 2010

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

April 26, 2007 - June 13, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

June 12, 2006 - October 26, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

January 4, 2005 - July 13, 2005

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/21/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

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

DWS DISTRIBUTORS, INC.

CRD#: 37306

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