Richard J. Ward
STIFEL, NICOLAUS & COMPANY
Irvine, CA 92618
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CRD#: 864653
Professional summary
Richard James Ward, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Irvine, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. FINANCIAL PLANNING ASSOCIATION;MEMBER;2 HRS/MONTH; DURING SECURITIES TRADING HOURS. 2. UCLA CHANCELLORS ASSOCIATES; MEMBERSHIP GROUP OF UNIVERSITY DONORS; 1 HOUR PER QUARTER; NOT DURING SECURITIES HOURS. 3. INTERNATIONAL ASSOCIATION OF ADVISORS IN PHILANTHROPY; MEMBER; 1 HOUR PER QUARTER; DURING SECURITIES TRADING HOURS. 4. THE UCLA FOUNDATION; GOVERNOR; 1 HOUR PER QUARTER; NOT DURING SECURITIES HOURS. 5. Advisors in Philanthropy Orange County Chapter; Volunteer organization made up of professional advisors supporting philanthropy; Board member; help advise leaders on goals, plans, and activities; affiliation started 09/21/2015; 5 hours per month; during securities trading hours; not investment related. 6. Author, Redefining Retirement; 3 Leatherwood Irvine CA 92612; Author of self-help book; Author; Writing the book, self-publishing the book; affiliation started 01/29/2016; 2 hours per month; during securities trading hours; investment related. 7. The Passkeys Foundation/Institute for Community Impact; PO Box 4137 Mission Viejo, 92690-4137; Community Involvement; Advisory Board Member; Advise on organization's mission and activities;06/01/2017; 1.0 hours per month; during securities trading hours; Not Investment Related. 8. OneOC; 1901 E. Fourth Street Santa Ana CA 92705; Nonprofit services; Chairman of the Encore Advisory Board; Attend meetings, represent the Board; 02/05/2018; 2.00 Hour(s) Per Month; During securities trading hours; Not Investment-Related 9. Success with Purpose; Irvine, CA 92612; Owner - Promoting local philanthropy, promoting authorship of books related to philanthropy; 12/15/2017; 5.00 Hour(s) Per Month - may be during securities trading hours; Not Investment-Related 10. OneOC; 1901 E 4th St Santa Ana CA 92705;Supporting nonprofit organizations and volunteers; Member of Board of Directors; Provide oversight for management of organization; 7/30/19;2 hr/mo; during securities trading hours; not investment related. 11. OneOC Success with Purpose Community Fiscal Sponsor Project; 1901 E. Fourth Street, Ste. 100 Santa Ana CA 92705; Conducts educational events to promote community engagement and philanthropy; Project Director- Organizer of quarterly events; I will organize quarterly events and be responsible for arranging vendors for events and securing guests and sponsors; 01/08/2024; 8.00hrs/month; During securities trading hours; not investment related. 12. The Park Club California; 650 Town Center Drive Costa Mesa CA 92626; Private Social Club; Member of the Board of Governors; Advise on membership policies; 11/18/2024; 2 hrs/quarter; During Security Trading Hours; Not Investment-Related 13. Working Wardrobes; 2000 E McFadden Ave Santa Ana, CA 92705; Nonprofit Organization serving people with job training and preparation services; Member of the Board of Directors; Provide oversight of the organization's operations and plans; 01/01/2026; 5hrs/mth; During securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Ward's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James 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®
CFP®
Start date: 1988
Experience
Current
May 18, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 Spectrum Center Drive, Irvine, CA 92618RIA
BD
CRD#: 793
Irvine, CA
Current
May 18, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 Spectrum Center Drive, Irvine, CA 92618RIA
BD
CRD#: 793
Irvine, CA
Past
July 8, 1997 - May 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEWPORT BEACH, CA
Past
June 25, 1979 - May 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEWPORT BEACH, CA
Past
April 2, 1979 - July 26, 1979
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(5/18/2012)
RR
California(5/18/2012)
IAR
California(5/18/2012)
RR
Colorado(7/23/2015)
RR
Delaware(9/18/2025)
RR
Florida(5/18/2012)
RR
Hawaii(7/14/2021)
RR
Maryland(6/28/2021)
RR
Massachusetts(12/19/2014)
RR
Missouri(1/21/2022)
RR
New Jersey(2/13/2024)
RR
New Mexico(2/21/2019)
RR
New York(9/22/2014)
RR
North Carolina(12/1/2016)
RR
Ohio(11/23/2018)
RR
Pennsylvania(5/18/2012)
IAR
Texas(5/18/2012)
RR
Texas(6/10/2021)
RR
Virginia(2/24/2015)
RR
Washington(11/16/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
