Ward S. Anderson
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 Stephen Anderson, who also goes by Ward Anderson, was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 2005. Ward had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2017 - February 13, 2020
TOCQUEVILLE ASSET MANAGEMENT LP
February 25, 2016 - February 13, 2020
TOCQUEVILLE SECURITIES L.P.
June 18, 2015 - February 10, 2016
PENBROOK MANAGEMENT LLC
November 4, 2013 - February 10, 2016
BEECH HILL SECURITIES, INC.
February 5, 2010 - November 1, 2013
BREAN CAPITAL, LLC
October 31, 2005 - October 26, 2009
BREAN CAPITAL, LLC
March 18, 2005 - November 3, 2005
BREAN MURRAY & CO., INC.
Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
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
Current Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
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.
