Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard James Ward is an Investment Advisor Representative at Stifel, Nicolaus & Company, Inc. Richard has been in the securities industry since April 1, 1979 and has worked at the firm's Irvine, CA branch since May 2012. Richard has a strong track record of success in the financial services industry, and is committed to providing his clients with personalized advice and guidance. Richard is also a Certified Financial Planner and has authored a book on retirement planning.
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
CA
05/18/2012 - Present
Stifel, Nicolaus & Company, Inc. (IRVINE CA)
CA
06/25/1979 - 05/22/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
NA
04/02/1979 - 07/26/1979
DEAN WITTER REYNOLDS INC.
IA
Issued 11/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/27/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1992
Series 3 - National Commodity Futures Examination
BC
Issued 10/21/1978
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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