Nicholas M. Ward
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Matthew Ward, who also goes by Nicholas Ward, Nick Ward, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2010. Nicholas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2025 - September 2, 2025
LPS CAPITAL LLC
January 5, 2023 - March 28, 2025
THE BAKER GROUP, LP
August 22, 2017 - April 13, 2021
BAY CREST PARTNERS, LLC
October 11, 2011 - August 17, 2017
DEALERWEB LLC
April 4, 2011 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
January 14, 2010 - May 24, 2010
WELLS FARGO CLEARING 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
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
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.
