James A Ward
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Ward
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Credentials
Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
J WARD FINANCIAL | J. WARD FINANCIAL SERVICES, LLC | J WARD FINANCIAL SERVICES, LLC
Contact Information
Main Address
16360 Monterey Street Suite 210, Morgan Hill, CA 95037Phone Number
(408) 612-4200# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
23AUM (Assets Under Management)
$15,819,578Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/6/2022)
(7/27/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James A Ward's CRS (Customer Relationship Summary).
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