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Louis Ward

Spartan Capital Securities, LLC

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About Louis Ward

Louis Ward is a financial advisor with Spartan Capital Securities, LLC. Louis has been in the financial services industry since 1991. Louis's experience includes working at various financial firms, including K.C. WARD FINANCIAL, J.P. TURNER & COMPANY, L.L.C., AMERICAN CAPITAL PARTNERS, LLC, MILESTONE FINANCIAL SERVICES, INC., SEABOARD SECURITIES, INC., WALSH MANNING SECURITIES, LLC, CHATFIELD DEAN & CO., INC., LEW LIEBERBAUM & CO., INC., THE HARRIMAN GROUP, INC., and STRATTON OAKMONT INC. Louis is licensed to sell securities in all 50 states.

Firm Information

Louis Ward is currently registered with Spartan Capital Securities, LLC. Spartan Capital Securities, LLC is a Limited Liability Company formed in June 2007. It is registered to do business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has an active SEC registration and is subject to regulatory oversight.

Not reported

Assets Under Management

Not reported

Total Clients

83

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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Louis Ward’s Registration & Firm History

NY

01/02/2018 - Present

Spartan Capital Securities, LLC (Ronkonkoma NY)

NY

02/26/2008 - 12/31/2017

K.C. WARD FINANCIAL (RONKONKOMA NY)

NY

01/03/2005 - 03/27/2008

J.P. TURNER & COMPANY, L.L.C. (RONKONKOMA NY)

NY

01/14/2003 - 12/31/2004

AMERICAN CAPITAL PARTNERS, LLC (HAUPPAUGE NY)

NY

05/19/2000 - 01/15/2003

MILESTONE FINANCIAL SERVICES, INC. (BOHEMIA NY)

NJ

01/21/1997 - 05/19/2000

SEABOARD SECURITIES, INC. (FLORHAM PARK NJ)

NA

10/02/1996 - 01/07/1997

WALSH MANNING SECURITIES, LLC

NJ

01/13/1995 - 10/11/1996

SEABOARD SECURITIES, INC. (FLORHAM PARK NJ)

CO

01/04/1995 - 02/06/1995

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

NY

04/06/1993 - 10/28/1994

LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)

NY

07/30/1992 - 04/14/1993

THE HARRIMAN GROUP, INC. (JERICHO NY)

NY

03/06/1992 - 07/30/1992

LEW LIEBERBAUM & CO., INC. (GARDEN CITY NY)

NY

10/04/1991 - 03/14/1992

STRATTON OAKMONT INC. (LAKE SUCCESS NY)

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Licenses & Designations

BC

Issued 11/04/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/27/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/03/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Louis Ward. Review regulatory record here.
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