Richard L. Ward

CENTERVIEW WEALTH ADVISORS

Pittsburgh, PA 15215

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CRD#: 5742345

Professional summary

Richard Leon Ward, CFP® is a registered financial advisor currently at CENTERVIEW WEALTH ADVISORS, LLC located in Pittsburgh, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)CAPITAL CONFIGURATION, LLC, 4823 BLACKBERRY WAY, PITTSBURGH, PA 15201. BEGAN 7/09/2014 AS CPA. NOT INVESTMENT RELATED. DEVOTES 10-15 HOURS/WEEK, NONE DURING TRADING. 2)PENNSYLVANIA INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS (PICPA), ONE OXFORD CENTER, 301 GRANT STREET, SUITE 4300, PITTSBURGH, PA 15219. BEGAN 1/1/2014 AS CO-CHAIR OF EMERGING CPAS. NOT INVESTMENT RELATED. DEVOTES 1-2 HOURS/WEEK, NONE DURING TRADING. NON-PROFIT ORGANIZATION. 3)NATIONAL ASSOCIATION OF BLACK ACCOUNTANTS (NABA), P.O. BOX 1102, PITTSBURGH, PA 15230. BEGAN 7/1/2013 AS DIRECTOR OF STUDENT MEMBERSHIP SERVICES. NOT INVESTMENT RELATED. DEVOTES 5-10 HOURS/WEEK, NONE DURING TRADING. NON-PROFIT ORGANIZATION. 4) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leon 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: 2018

Experience

Current

October 7, 2015 - Present

CENTERVIEW WEALTH ADVISORS, LLC

Office #1: 139 Freeport Road, Pittsburgh, PA 15215

RIA

CRD#: 173260

Pittsburgh, PA

Past

July 10, 2014 - November 11, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

PITTSBURGH, PA

Past

July 10, 2014 - November 11, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

PITTSBURGH, PA

Past

June 21, 2012 - July 14, 2014

MORGAN STANLEY

RIA

CRD#: 149777

PITTSBURGH, PA

Past

May 24, 2012 - July 14, 2014

MORGAN STANLEY

CRD#: 149777

PITTSBURGH, PA

Past

September 2, 2010 - September 15, 2010

PRUCO SECURITIES, LLC.

CRD#: 5685

PITTSBURGH, PA

Past

December 24, 2009 - February 17, 2010

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

CANONSBURG, PA

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

Pennsylvania
(10/7/2015)

IAR

Texas
(2/1/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/20/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/20/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/23/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CENTERVIEW WEALTH ADVISORS, LLC

CENTERVIEW WEALTH ADVISORS, LLC | GUYAUX, CLINTON E

CRD#: 173260 / SEC#:

New Jersey

Registered Investment Advisory firm - (12/14/2021 Terminated)

Ohio

Registered Investment Advisory firm - (6/20/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/1/2014 Approved)

Texas

Registered Investment Advisory firm - (1/30/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

139 Freeport Road, Pittsburgh, PA 15215

Mailing Address

Phone number

(412) 532-8111

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	161
AUM (Assets Under Management)	$ 115,100,000

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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Advisor Monitoring

Firm Stability Insights

Richard L. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Leon Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MORGAN STANLEY

MORGAN STANLEY

PRUCO SECURITIES, LLC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/2012

Series 63

Date: 1/7/2010

SIE

Date: 11/11/2015

Series 31

Date: 7/20/2012

Series 7

Date: 5/23/2012

Series 6

Date: 12/23/2009

Current Firm

CENTERVIEW WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CENTERVIEW WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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