Daniel A. Ward

OAK CITY CONSULTING

WAKE FOREST, NC 27587

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CRD#: 6627521

Professional summary

Daniel Alexander Ward, who also goes by Daniel Ward, is a registered financial advisor currently at OAK CITY CONSULTING, LLC located in Wake Forest, North Carolina.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Daniel has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Ward

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alexander Ward's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 11, 2018 - Present

OAK CITY CONSULTING, LLC

Office #1: 9733 Fonville Rd, Wake Forest, NC 27587

RIA

CRD#: 162220

WAKE FOREST, NC

Past

April 14, 2016 - March 20, 2018

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OAK CITY CONSULTING, LLC

CRD#: 162220 / SEC#: 801-74468

RIA

Registered Investment Advisory firm - (3/21/2012 Approved)

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

North Carolina
(4/11/2018)

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: 4/11/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/14/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OAK CITY CONSULTING, LLC

CRD#: 162220 / SEC#: 801-74468

RIA

Registered Investment Advisory firm - (3/21/2012 Approved)

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Contact information

Main Address

9733 Fonville Rd, Wake Forest, NC 27587

Mailing Address

P.o. Box 841 27588, Wake Forest, NC 27588

Phone number

(919) 844-6450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAK CITY CONSULTING LLC ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 1,263,522,562

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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Daniel A. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alexander Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK CITY CONSULTING, LLC

FIRST CITIZENS INVESTOR SERVICES, INC.

Primary Firm SEC Registration

OAK CITY CONSULTING, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2018

Series 63

Date: 4/22/2016

SIE

Date: 3/20/2018

Series 6

Date: 4/14/2016

Current Firm

OAK CITY CONSULTING, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK CITY CONSULTING, LLC

TRUST BUT VERIFY

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