William 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.
William Hugh Ward, who also goes by Bill Ward, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 5 firms and has passed the SIE, Series 6, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1997 - December 1, 2015
THE LEADERS GROUP, INC.
July 22, 1993 - November 17, 2004
OHANESIAN / LECOURS, INC.
July 15, 1993 - July 9, 1997
OHANESIAN / LECOURS, INC.
September 13, 1985 - July 19, 1993
C.A.L. INVESTMENT SERVICES INC.
January 14, 1977 - May 21, 1978
PROVIDENT MARKETING CORPORATION
July 10, 1975 - January 14, 1977
PLA SECURITIES CORPORATION
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: 7/2/1975
Registered Representative ExaminationSeries 2
Date: 10/14/1971
Non-Member General Securities ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
