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James Ward

Cowen AND Co.

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About James Ward

James Ward is a financial professional with over 25 years of experience in the securities industry. He is currently registered with Cowen and Co., a leading financial services firm. James has a strong background in the securities industry, holding Series 7, 9, 10, and 63 licenses. His career spans roles at Salomon Smith Barney Inc. and Dean Witter Reynolds Inc. James is registered in Massachusetts, New York, Rhode Island and Florida and is a Series 63 registered representative.

Firm Information

James Ward is currently registered with Cowen AND Co.. Cowen AND Co. is a Limited Liability Company that was formed on January 15, 2004. The firm is registered in 53 states and the SEC and offers advisory services. Cowen AND Co. has been involved in 46 regulatory events and 8 arbitration cases.

Not reported

Assets Under Management

Not reported

Total Clients

142

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

04/07/1999 - Present

Cowen AND Co. (BOSTON MA)

NY

04/03/1997 - 03/10/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

05/21/1996 - 04/16/1997

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 12/10/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/23/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/08/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX 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 ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Ward.
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