Henry S. 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.
Henry Shozen Ward was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2015. Henry had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 82 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
September 13, 2016 - September 30, 2019
CARTA SECURITIES, LLC
September 9, 2015 - September 23, 2016
GORDIAN INVESTMENTS, LLC
State Registrations and Notice Filings
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Exams
Series 62
Date: 10/4/2016
Corporate Securities Limited Representative ExaminationCurrent Firm
CARTA SECURITIES, LLC
CRD#: 282086 / SEC#: , 8-69701
Contact information
Documents
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.
