Stephen L. Ward
Professional summary
Stephen Lawrence Ward, who also goes by Stephen Lawrence Ward, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2008. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Lawrence Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2022 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416February 24, 2016 - March 29, 2016
CURIAN CAPITAL, LLC
February 19, 2016 - January 14, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 13, 2014 - January 20, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 13, 2014 - January 20, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 29, 2012 - January 20, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 20, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 6, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 19, 2008 - August 18, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/29/2022)
Exams
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
