Richard J. 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.
Richard J Ward, who also goes by Richard Joseph Ward, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2014. Richard had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2016 - February 26, 2016
ARCAS CAPITAL MANAGEMENT, LLC
July 29, 2015 - December 31, 2015
ARCAS CAPITAL MANAGEMENT, LLC
September 23, 2014 - July 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2014 - July 14, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ARCAS CAPITAL MANAGEMENT, LLC
CRD#: 154345 / SEC#: 801-71613
Contact information
Red Flags
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