Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Ward is a financial advisor at Stifel, Nicolaus & Company, Inc. Patrick has over 19 years of experience in the financial industry. Patrick specializes in a variety of services including portfolio management for individuals and businesses, financial planning, and selection of other advisors. Patrick is registered with FINRA and holds Series 4, 7, 55, 63, and 65 licenses. Patrick is also a Registered Options Principal. Patrick is licensed in all 50 states, and is active in both Broker Dealer and Investment Advisor capacities.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
05/07/2020 - Present
Stifel, Nicolaus & Company, Inc. (MORRISTOWN NJ)
NY
05/03/2011 - 05/13/2020
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
09/02/2009 - 02/23/2011
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
10/01/2008 - 08/24/2009
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/12/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/03/2004 - 03/19/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
02/18/2004 - 03/01/2004
SLK-HULL DERIVATIVES LLC (NEW YORK NY)
NA
05/18/1994 - 02/06/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 03/10/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/2020
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/17/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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