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SW

Sarah A. Ward

Some features on this profile are disabled
CRD#: 6850038
SW

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.

Sarah Ann Ward, who also goes by Sarah Ann Nelson, was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2021. Sarah had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Ann Nelson

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.
NON SELLING REGISTERED SALES ASSISTANT | INVESTMENT RELATED: YES | DBA NAME: DRUCKER WEALTH MANAGEMENT | POSITION HELD: EMPLOYEE | ADDRESS: 2 PARK AVENUE SUITE 300 NY,NY 10016 | START DATE: 10/25/2022 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: PARAPLANNING Business Name: Hobby | Not investment related | Located: residential address | Nature / Duties: Jewelry making | Position/Tile: Owner | Start Date: 02/07/2025| Hours Per Month: Approximately 20 | Hours During Trading Hours: 0

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 9, 2024 - August 25, 2025

DRUCKER WEALTH

RIA
CRD#: 328909
Buchanan, MI
Past

October 28, 2022 - February 12, 2024

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
NEW YORK, NY
Past

October 28, 2022 - February 12, 2024

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
NEW YORK, NY
Past

March 1, 2021 - October 18, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
ST. JOSEPH, MI
Past

January 25, 2021 - October 18, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. JOSEPH, MI

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".
DW
DRUCKER WEALTH
DRUCKER WEALTH | DRUCKER WEALTH, LLC | DRUCKER WEALTH 3.0, LLC

CRD#: 328909 / SEC#: 801-129473

RIA
Registered Investment Advisory firm - (2/6/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/25/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/20/2020
Securities Industry Essentials Examination

Current Firm

DW
DRUCKER WEALTH
DRUCKER WEALTH | DRUCKER WEALTH, LLC | DRUCKER WEALTH 3.0, LLC

CRD#: 328909 / SEC#: 801-129473

RIA
Registered Investment Advisory firm - (2/6/2024 Approved)
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Contact information

Main Address
Mahwah, NJ
Mailing Address
50 Tice Boulevard Suite 340, Woodcliff Lake, NJ 07677
Phone number
(212) 681-0460
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts2,985
AUM (Assets Under Management)$ 665,989,896

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.

Company Information

DRUCKER WEALTH

CRD#: 328909

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