Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Ward is a Financial Advisor with RBC Capital Markets, LLC, a firm based in New York, NY. Brian has been in the financial services industry since 1994 and has a wide range of experience in the securities industry. Brian holds numerous licenses and certifications, including Series 3, 4, 7, 24, 55, 57TO and SIE. Brian is registered in 53 states and is also a registered principal with RBC Capital Markets, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
11/24/2009 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
01/09/2009 - 10/14/2009
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
CT
07/22/2004 - 11/20/2008
UBS SECURITIES LLC (STAMFORD CT)
NY
03/27/1998 - 03/12/2004
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NA
03/02/1998 - 03/24/1998
DEUTSCHE MORGAN GRENFELL INC.
NY
01/31/1997 - 03/02/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
NY
09/08/1994 - 12/11/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 08/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/2011
Series 24 - General Securities Principal Examination
BC
Issued 12/28/2009
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2000
Series 3 - National Commodity Futures Examination
BC
Issued 03/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/17/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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