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James Tillman Ward

Morgan Stanley & Co. LLC

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About James Tillman Ward

James Tillman Ward is a financial advisor with over 20 years of experience in the industry. James is currently registered with Morgan Stanley & Co. LLC. Prior to this, James was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and RITTENHOUSE TRUST SECURITIES, INC.. James is licensed in all 50 states and holds the Series 7, Series 63, Series 65, and SIE licenses.

Firm Information

James Ward is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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

TX

07/20/2012 - Present

Morgan Stanley & Co. LLC (Dallas TX)

TX

09/15/2000 - 07/17/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)

PA

04/26/2000 - 09/06/2000

RITTENHOUSE TRUST SECURITIES, INC. (RADNOR PA)

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Licenses & Designations

IA

Issued 11/20/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/07/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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 Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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

Disclosures

There are no public disclosures for James Tillman Ward.
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