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RW

Robert F. Ward

Some features on this profile are disabled
CRD#: 855744
RW

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.

Robert Frank Ward was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 1 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

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

December 21, 2005 - February 6, 2012

AIS CAPITAL MANAGEMENT L.P.

RIA
CRD#: 107971
WILTON, CT
Past

February 22, 2000 - December 19, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
DENVER, CO
Past

March 11, 1988 - February 28, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 23, 1983 - March 23, 1988

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

August 29, 1983 - October 12, 1983

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

June 30, 1981 - September 19, 1983

ROTAN MOSLE INC.

BD
CRD#: 727

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".
AC
AIS CAPITAL MANAGEMENT L.P.
AIS CAPITAL MANAGEMENT L.P. | AIS CAPITAL MANAGEMENT LLC

CRD#: 107971 / SEC#: 801-43295

RIA
Registered Investment Advisory firm - (2/8/1993 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
IAR
Series 65
Date: 12/8/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/29/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1979
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/11/1978
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 2/28/2006
NFA Branch Manager Examination

Current Firm

AC
AIS CAPITAL MANAGEMENT L.P.
AIS CAPITAL MANAGEMENT L.P. | AIS CAPITAL MANAGEMENT LLC

CRD#: 107971 / SEC#: 801-43295

RIA
Registered Investment Advisory firm - (2/8/1993 Approved)
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Contact information

Main Address
187 Danbury Rd First Floor, Wilton, CT 06897-0806
Mailing Address
Phone number
(203) 563-1180
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (2 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

ADV 2A BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts44
AUM (Assets Under Management)$ 183,200,897

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

AIS CAPITAL MANAGEMENT L.P.

CRD#: 107971

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