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.
James is registered as an IAR (Investment Advisor 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
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 - July 13, 2026
THE LEADERS GROUP, INC.
June 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.
Highlighted states indicate IAR registrations
(1/6/2022)
Exams
Series 7TO
Date: 5/7/2024
General Securities Representative ExaminationCurrent 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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Company Information
J WARD FINANCIAL
CRD#: 317284Morgan Hill, CA 95037TRUST BUT VERIFY
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