Kevin 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.
Kevin Ward, CFP®, who also goes by Kevin Matthew Ward, Kevin Ward, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2018. Kevin had worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO, SIE, Series 27, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2021 - April 16, 2025
ETC BROKERAGE SERVICES, LLC
March 23, 2021 - April 23, 2021
OPPENHEIMER & CO. INC.
October 1, 2020 - April 23, 2021
OPPENHEIMER & CO. INC.
December 11, 2018 - October 6, 2020
J.P. MORGAN SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/11/2018
General Securities Representative ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
