Benjamin F. 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.
Benjamin Franklin Ward II, who also goes by Ben F Ward, Ben Ward, Benjamine Franklin Ward II, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1964. Benjamin had worked at 7 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1999 - October 25, 2001
BRECEK & YOUNG ADVISORS, INC.
January 30, 1997 - December 31, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 29, 1994 - September 17, 1996
PATTERSON ICENOGLE, INC.
April 11, 1991 - December 31, 1994
THE O.N. EQUITY SALES COMPANY
March 12, 1986 - May 1, 1990
DELTA LIFE SECURITIES, INC.
October 29, 1970 - November 5, 1978
MORGAN KEEGAN & COMPANY, LLC
July 24, 1964 - December 30, 1974
CHARLES E SEAY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/21/1964
Registered Representative ExaminationSeries 00
Date: 10/23/1970
General Securities Principal ExaminationCurrent Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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