WW
Walton H. Ward
COURSE 26
FORT WORTH, TX 76102
Some features on this profile are disabled
CRD#: 5173712
WW
Professional summary
Walton Henry Ward, who also goes by Walton Ward, is a registered financial advisor currently at COURSE 26, LLC located in Fort Worth, Texas.
Walton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Walton has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Walton 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.
Mr. Ward occasionally consults for other persons on a non-discretionary basis. This consulting work typically will not include investment advice whether for compensation or not.
Mr. Ward and a group of his family members and friends participate in the startup venture funds Sidekick Fund LP and Sidekick Fund A LP (collectively, the "Sidekick Funds"). The Sidekick Funds invest in private, non-control interests in startup and venture companies. Mr. Ward and a substantially similar group of his family members and friends help manage W2 Managers LLC, Sidekick Managers LLC, and Sidekick Fund A GP LLC (collectively, the "Sidekick Managers"), which operate and manage the Sidekick Funds. Operations for the Sidekick Funds and the Sidekick Managers are based in New York City. The address is 131 East 19th Street, Floor 3, New York, NY 10003. Mr. Ward helps serve as a Manager and devotes less than 20 hours per month (5 hours per week) to Sidekick related activities, and virtually all of these hours occur outside securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Walton Henry 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®
NoneExperience
Current
November 20, 2015 - Present
COURSE 26, LLC
Office #1: 201 Main Street Suite 1880, Fort Worth, TX 76102RIA
CRD#: 171325
FORT WORTH, TX
Past
August 23, 2006 - August 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
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.Highlighted states indicate IAR registrations
IAR
Louisiana(6/13/2022)
IAR
Texas(11/20/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
C2
COURSE 26, LLC
COURSE 26, LLC
CRD#: 171325 / SEC#:
Louisiana
Registered Investment Advisory firm - (6/13/2022 Approved)Texas
Registered Investment Advisory firm - (11/20/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 Main Street Suite 1880, Fort Worth, TX 76102
Mailing Address
Phone number
(817) 752-4768
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 47 |
| AUM (Assets Under Management) | $ 55,722,477 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 9/11/2015 |
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.
