James A. Ward
Professional summary
James A Ward, CFP®, who also goes by Jim Ward, is a registered financial advisor currently at J WARD FINANCIAL located in Morgan Hill, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James A Ward's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2021
Experience
January 6, 2022 - Present
J WARD FINANCIAL
Office #1: 16360 Monterey Street Suite 210, Morgan Hill, CA 95037May 7, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901June 16, 2006 - August 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2006 - August 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2022)
(6/18/2024)
Exams
Series 7TO
Date: 5/7/2024
General Securities Representative ExaminationFINRA
Current Firm
J WARD FINANCIAL
CRD#: 317284 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 15,819,578 |
Red Flags
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