James A. Ward

J WARD FINANCIAL

Morgan Hill, CA 95037

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CRD#: 5118926

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

Are you a "fiduciary"?

Yes

Aliases

Jim 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 James A 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

Start date: 2021

Experience

Current

January 6, 2022 - Present

J WARD FINANCIAL

Office #1: 16360 Monterey Street Suite 210, Morgan Hill, CA 95037

RIA

CRD#: 317284

Morgan Hill, CA

Current

May 7, 2024 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

June 16, 2006 - August 3, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

May 17, 2006 - August 3, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

IAR

California
(1/6/2022)

California
(6/18/2024)

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: 6/1/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/7/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/7/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

J WARD FINANCIAL

J WARD FINANCIAL | J. WARD FINANCIAL SERVICES, LLC | J WARD FINANCIAL SERVICES, LLC

CRD#: 317284 / SEC#:

California

Registered Investment Advisory firm - (1/6/2022 Approved)

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Contact information

Main Address

16360 Monterey Street Suite 210, Morgan Hill, CA 95037

Mailing Address

Phone number

(408) 612-4200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 11,415,594

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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James A. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

J WARD FINANCIAL

THE LEADERS GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2024

Series 7TO

Date: 5/7/2024

SIE

Date: 5/7/2024

Series 7

Date: 5/16/2006

FINRA

Current Firm

J WARD FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

J WARD FINANCIAL

TRUST BUT VERIFY

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