CW
Connor Ward
PANTHEON SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 6999136
CW
Professional summary
Connor Ward, who also goes by Connor Joseph Ward, Connor Ward, is a registered financial professional currently at PANTHEON SECURITIES, LLC located in New York, New York.
Connor is registered as a RR (Registered Representative) and started their career in finance in 2018. Connor has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Connor Joseph Ward | Connor 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.
CRS (Client Relationship Summary) - BD
Click below to view Connor Ward's 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®
NoneExperience
Current
August 19, 2021 - Present
PANTHEON SECURITIES, LLC
Office #1: 11 Times Square 35th Floor, New York, NY 10036BD
CRD#: 285480
New York, NY
Past
November 1, 2018 - July 14, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/19/2022)
RR
Alaska(4/19/2022)
RR
Arizona(4/19/2022)
RR
Arkansas(4/19/2022)
RR
California(8/19/2021)
RR
Colorado(4/19/2022)
RR
Connecticut(4/19/2022)
RR
Delaware(4/19/2022)
RR
District of Columbia(4/19/2022)
RR
Florida(4/19/2022)
RR
Georgia(4/19/2022)
RR
Hawaii(4/19/2022)
RR
Idaho(4/19/2022)
RR
Illinois(4/19/2022)
RR
Indiana(4/19/2022)
RR
Iowa(4/19/2022)
RR
Kansas(4/19/2022)
RR
Kentucky(4/19/2022)
RR
Louisiana(4/19/2022)
RR
Maine(4/19/2022)
RR
Maryland(4/19/2022)
RR
Massachusetts(4/19/2022)
RR
Michigan(4/19/2022)
RR
Minnesota(4/19/2022)
RR
Mississippi(4/19/2022)
RR
Missouri(4/19/2022)
RR
Montana(4/19/2022)
RR
Nebraska(4/19/2022)
RR
Nevada(4/19/2022)
RR
New Hampshire(4/19/2022)
RR
New Jersey(4/19/2022)
RR
New Mexico(4/19/2022)
RR
New York(8/19/2021)
RR
North Carolina(4/19/2022)
RR
North Dakota(4/19/2022)
RR
Ohio(4/20/2022)
RR
Oklahoma(4/19/2022)
RR
Oregon(4/19/2022)
RR
Pennsylvania(4/19/2022)
RR
Puerto Rico(4/19/2022)
RR
Rhode Island(4/19/2022)
RR
South Carolina(4/19/2022)
RR
South Dakota(4/19/2022)
RR
Tennessee(4/19/2022)
RR
Texas(4/19/2022)
RR
Utah(4/19/2022)
RR
Vermont(4/19/2022)
RR
Virgin Islands(4/19/2022)
RR
Virginia(4/19/2022)
RR
Washington(4/19/2022)
RR
West Virginia(4/19/2022)
RR
Wisconsin(4/19/2022)
RR
Wyoming(4/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PS
PANTHEON SECURITIES, LLC
PANTHEON SECURITIES, LLC
CRD#: 285480 / SEC#: , 8-69844
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11 Times Square 35th Floor, New York, NY 10036
Mailing Address
11 Times Square, New York, NY 10036
Phone number
(212) 205-2000
Established
Delaware since 08/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
