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James Jay Ward

Citizens JMP Securities, LLC

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About James Jay Ward

James Jay Ward is a securities professional with over 16 years of experience in the financial industry. James is currently registered with Citizens JMP Securities, LLC as a General Securities Representative and Investment Banking Representative. Previously, James held roles at Citizens Capital Markets, Citizens Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Securities LLC. James is also a licensed principal in the state of Massachusetts. James has a strong track record of success in the financial services industry and is committed to providing his clients with the highest level of service and expertise.

Firm Information

James Ward is currently registered with Citizens JMP Securities, LLC. Citizens JMP Securities, LLC, a Limited Liability Company, was formed in 2002 and is approved in all 50 states and the District of Columbia. The firm has received one SEC registration and 51 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

238

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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James Ward’s Registration & Firm History

MA

08/01/2023 - Present

Citizens JMP Securities, LLC (BOSTON MA)

MA

05/16/2016 - 08/01/2023

CITIZENS CAPITAL MARKETS (BOSTON MA)

MA

06/25/2013 - 05/16/2016

CITIZENS SECURITIES, INC. (BOSTON MA)

MA

11/01/2010 - 07/25/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)

MA

01/01/2006 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 04/07/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/01/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Jay Ward.
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