Bert P. Ward

CAPACUITY LLC

Apex, NC

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CRD#: 4987875

Professional summary

Bert Patrick Ward, CFP®, who also goes by Bert P. Ward, is a registered financial advisor currently at CAPACUITY LLC located in Apex, North Carolina and CAPACUITY SECURITIES, INC. located in Lake Mary, Florida.

Bert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Bert has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bert P. Ward

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 Bert Patrick Ward's 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®

CFP^®

Certified Financial Planner

Experience

Current

March 22, 2022 - Present

CAPACUITY LLC

RIA

CRD#: 297679

Apex, NC

Current

March 22, 2022 - Present

CAPACUITY SECURITIES, INC.

Office #1: 300 International Pkwy, #350, Lake Mary, FL 32746

CRD#: 15384

Lake Mary, FL

Past

December 16, 2011 - January 23, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

RALEIGH, NC

Past

December 15, 2011 - January 23, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

RALEIGH, NC

Past

July 7, 2006 - December 31, 2009

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

RALEIGH, NC

Past

June 28, 2006 - December 31, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

RALEIGH, NC

Past

September 19, 2005 - June 1, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RALEIGH, NC

Past

August 29, 2005 - June 1, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

RALEIGH, NC

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".

CAPACUITY LLC

CAPACUITY LLC | CAVALLINO FINANCIAL LLC

CRD#: 297679 / SEC#: 801-113636

RIA

Registered Investment Advisory firm - (7/19/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(3/22/2022)

IAR

Florida
(4/6/2022)

North Carolina
(3/22/2022)

IAR

North Carolina
(3/22/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/16/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/30/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/26/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPACUITY LLC

CAPACUITY LLC | CAVALLINO FINANCIAL LLC

CRD#: 297679 / SEC#: 801-113636

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

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Contact information

Main Address

300 International Parkway Suite 350, Lake Mary, FL 32746

Mailing Address

Phone number

(407) 949-6889

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV, PART 2A - 03.31.2025 (3/31/2025)

PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 10,601,699,879

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
11/19/2024	Cover Page	Report
12/26/2023	Cover Page	Report
09/27/2022	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.

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Advisor Monitoring

Firm Stability Insights

Bert P. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bert Patrick Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPACUITY SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CAPACUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2005

SIE

Date: 10/1/2018

Series 31

Date: 9/30/2005

Series 7

Date: 8/26/2005

FINRA

Current Firm

CAPACUITY LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPACUITY LLC

TRUST BUT VERIFY

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