Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Ward is an active Investment Advisor Representative with over 20 years in the industry. Derek has a Series 63, Series 65, Series 7, and Series 6 licenses and is registered with J.P. MORGAN SECURITIES LLC in Spring, TX. Derek is a Series 9 and Series 10 Principal and holds the SIE exam as well. Derek is also a registered Investment Advisor Representative with J.P. MORGAN SECURITIES LLC. Before joining J.P. MORGAN SECURITIES LLC, Derek worked at MORGAN STANLEY, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and ING FINANCIAL ADVISERS, LLC. Derek is also active in real estate investments, as an owner and partner in 1432 Rolling Fairway LLC and 28714 Stone Fox 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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
TX
11/02/2023 - Present
J.p. Morgan Securities LLC (Spring TX)
TX
05/08/2018 - 02/18/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
01/21/2011 - 04/16/2018
MORGAN STANLEY (HOUSTON TX)
CT
09/05/2008 - 10/08/2010
ING FINANCIAL ADVISERS, LLC (WINDSOR CT)
CT
09/01/2006 - 09/03/2008
ING INVESTMENT ADVISORS, LLC (WINDSOR CT)
NJ
10/17/2002 - 09/01/2006
CITISTREET EQUITIES LLC (SOMERSET NJ)
NY
09/13/2000 - 08/21/2002
AXA ADVISORS, LLC (NEW YORK NY)
IA
Issued 2/21/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/17/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/2/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/13/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/2/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 1/20/2011
Series 7 - General Securities Representative Examination
BC
Issued 9/12/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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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.
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FINRA
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Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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