Michael WardCRD Number: 1425173
Current Firm: Vanderbilt Advisory Services
Michael Ward (CRD# 1425173) is an Investment Advisor Representative working at Vanderbilt Advisory Services in Woodbury, NY and has over 31 years of experience in the finance industry.
Altium Wealth Management LLC
Scholtz & Co
Axa Advisors, LLC
|Vanderbilt Securities, LLC||Woodbury, NY||Jul 2015 - Current||2|
|Capitol Securities & Associates, Inc.||Melville, NY||Oct 2010 - Jul 2015||4|
|Westrock Advisors||Melville, NY||Aug 2002 - Oct 2010||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1985|
|S65||NASAA Investment Advisors Law Examination||Mar 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management28MILLIONS
Total Number of Accounts191ACCOUNTS
Average Account Value$145,094
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AZ, CA, CO, CT, GA, IA, IN, MA, MD, MN, NJ, NY, OH, PA, SC, TX, VA, WV
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