Brian M. 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.
Brian Michael Ward was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2018. Brian had worked at 3 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
March 21, 2021 - October 31, 2024
DALMORE GROUP LLC
July 30, 2020 - March 12, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
October 26, 2018 - January 24, 2020
OPPENHEIMER & CO. INC.
April 12, 2018 - January 24, 2020
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
