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John Bessom Ward

Imperial Capital, LLC

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About John Bessom Ward

John Ward has been a Registered Representative in the securities industry since 1982. John is currently registered with Imperial Capital, LLC, which is headquartered in Stamford, Connecticut. Previously, John worked at Scarsdale Equities LLC, Cowen and Company, CRT Capital Group LLC, Kevin Dann & Partners, LLC, ABN AMRO Securities LLC, ABN AMRO Incorporated, Lazard Freres & Co. LLC and Kidder, Peabody & Co. Incorporated. John holds FINRA Series 7, 8, 24, 63, and SIE licenses and is currently licensed in California, Connecticut, Florida, New York, and Pennsylvania.

Firm Information

John Ward is currently registered with Imperial Capital, LLC. Imperial Capital, LLC is a Limited Liability Company formed in July 1997. The firm is registered in all 50 states and the District of Columbia. They have been approved for SEC registration and have two Regulatory Event disclosures and one Arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

53

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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John Ward’s Registration & Firm History

CT

03/30/2020 - Present

Imperial Capital, LLC (Stamford CT)

NY

04/26/2019 - 03/25/2020

SCARSDALE EQUITIES LLC (NEW YORK NY)

CT

05/09/2016 - 04/10/2018

COWEN AND COMPANY (Stamford CT)

CT

07/10/2003 - 05/11/2016

CRT CAPITAL GROUP LLC (STAMFORD CT)

NY

02/06/2002 - 06/30/2003

KEVIN DANN & PARTNERS, LLC (NEW YORK NY)

NY

04/30/2001 - 12/31/2001

ABN AMRO SECURITIES LLC (NEW YORK NY)

CT

04/22/1998 - 04/30/2001

ABN AMRO INCORPORATED (STAMFORD CT)

NY

01/25/1995 - 04/24/1998

LAZARD FRERES & CO. LLC (NEW YORK NY)

NY

01/22/1982 - 02/22/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/14/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/18/1995

Series 24 - General Securities Principal Examination

BC

Issued 11/09/1993

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 04/10/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for John Bessom Ward.
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