Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samantha? Claim Your ProfileSamantha Ward is a financial advisor with Morgan Stanley. She is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) and is licensed to sell securities in all 50 states. Samantha is a seasoned professional with over 15 years of experience in the financial services industry, including roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, and J.P. Morgan Securities LLC. Samantha provides a wide range of financial services to individuals, families, and businesses, including investment management, financial planning, and retirement planning. Samantha is committed to helping her clients achieve their financial goals.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
08/29/2022 - Present
Morgan Stanley (The Woodlands TX)
TX
08/08/2018 - 10/05/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
09/25/2012 - 07/16/2018
MORGAN STANLEY (HOUSTON TX)
TX
06/01/2012 - 09/20/2012
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
NY
01/25/2005 - 02/09/2010
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 11/06/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/26/2012
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/06/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/04/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/04/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/04/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 05/30/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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