Richard William Ward

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-07
GA	RA	APPROVED	2013-02-06
SC	RA	APPROVED	2003-12-08

TX RA
APPROVED_RES

Since 2019-08-07
GA RA
APPROVED

Since 2013-02-06
SC RA
APPROVED

Since 2003-12-08

Branch Locations

1630 Mount Vernon Rd [Dunwoody], Dunwoody, GA 30338 • United States

106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • 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
Wells Fargo Advisors Llc	Mount Pleasant	SC	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Mount Pleasant	SC	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Mount Pleasant, SC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Mount Pleasant, SC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1997-12-12

S66 Uniform Combined State Law Examination

1997-12-12

Other Names

Richard W Ward

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

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