Thomas Ward, financial advisor Birmingham AL

Thomas Ward

CRD Number: 1464267
Current Firm: Stifel, Nicolaus & Company, Incorporated

Thomas Ward (CRD# 1464267) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Birmingham, AL and has over 37 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated St. Louis, MO Jul 2015 - Current 8
Stifel, Nicolaus & Company, Incorporated St. Louis, MO Jul 2015 - Current 8
Sterne, Agee & Leach, Inc. Birmingham, AL Nov 1997 - Current 26
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1986
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Thomas E. Ward
Phone Number: 314-342-2000
Registered State(s):
  • AL
  • TX
By the Numbers
  • Total Assets Under Management
    132,551
    MILLIONS
  • Total Number of Accounts
    334,814
    ACCOUNTS
  • Average Account Value
    $395,894
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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