Joel H. 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.
Joel Henderson Ward JR, who also goes by Joel H Ward, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1980. Joel had worked at 9 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2013 - December 10, 2020
SEACREST WEALTH MANAGEMENT, LLC
July 6, 2012 - April 15, 2013
ADVOCATES WEALTH PLANNING
October 13, 2003 - May 21, 2012
MSI FINANCIAL SERVICES, INC.
September 25, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 25, 2003 - May 21, 2012
MSI FINANCIAL SERVICES, INC.
June 7, 2000 - June 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1999 - June 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 1997 - December 31, 1998
WOODBURY FINANCIAL SERVICES, INC.
April 9, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 9, 1980 - December 22, 1995
IDS LIFE INSURANCE COMPANY
April 9, 1980 - December 22, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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: 3/28/1980
Registered Representative ExaminationCurrent Firm
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
