James Robert Ward

Current Employers

Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2006-09-08

WA RA
APPROVED

Since 2006-09-08

Branch Locations

Federal Way, WA • United States

225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wedbush Securities	Seattle	WA	09/2006	Present

09/2006 → Present

Wedbush Securities

Seattle, WA

Previous Registrations

2006-08-12 → 2006-09-21

Ubs Financial Services Inc.

Seattle, WA
1999-12-13 → 2006-08-12

Piper Sandler & Co.

Minneapolis, MN

Seattle, WA

Seattle, WA

Other Businesses

(1) BARCLAY PLACE HOMEOWNERS; NOT INVESTMENT-RELATED; FEDERAL WAY, WA; NON-PROFIT; LLC; DIRECTOR; START: 04/1994; APPROX: 10 HOURS YEARLY NOT DURING BUSINESS HOURS; DUTIES: DIRECTOR OF HOMEOWNERS ASSN --- (2) WARDDEN LLC; NOT INVESTMENT-RELATED; FEDERAL WAY, WA; SMALL BUSINESS CONSULTING; PRESIDENT/OWNER; START: 01/2014; APPROX: 40 HOURS PER MONTH; 5-20 DURING TRADING HOURS MONTHLY; DUTIES: BUSINESS SUCCESSION CONSULTING --- (3) NORTHTOWN AUTO CLINIC ; NOT INVESTMENT RELATED; AUTOMOTIVE VEHICHLE REPAIR; KANSAS, MISSOURI; OWNER / PRESIDENT; APPROX: 20 HOURS MONTHLY, 10-30 A MONTH DURING BUSINESS HOURS; DUTIES: OPERATIONAL OVERSIGHT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-17
S63	Uniform Securities Agent State Law Examination	1999-11-03

S65 Uniform Investment Adviser Law Examination

1999-11-17
S63 Uniform Securities Agent State Law Examination

1999-11-03

Other Names

J Robert Ward
Bob Ward

View on SEC IAPD