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Jeffrey Michael Ward

LPl Financial LLC

Huntington Beach, CA

Los Alamitos, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-29
CA RA APPROVED 2010-01-28
  • TX RA
    APPROVED_RES
    Since 2021-11-29
  • CA RA
    APPROVED
    Since 2010-01-28

Branch Locations

15061 Springdale St Ste 104, Huntington Beach, CA 92649 • United States

Los Alamitos, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Huntington Beach CA 01/2010 Present
  • 01/2010 → Present
    Lpl Financial
    Huntington Beach, CA
Previous Registrations
  • 2009-05-02 → 2010-01-29
    Chase Investment Services Corp.
    Westminster, CA
  • 2008-12-12 → 2009-05-02
    Wamu Investments, Inc.
    Westminster, CA
    Westminster, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-11
S63 Uniform Securities Agent State Law Examination 2000-09-29
  • S65 Uniform Investment Adviser Law Examination
    2008-12-11
  • S63 Uniform Securities Agent State Law Examination
    2000-09-29

View on SEC IAPD

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Other Investors

Michael Steven Conway
CRAIG ALLEN DAVIS
Anthony Labarba
Anthony McGee
John Elliott
TOM TOSHIYUKI TERAOKA
KENNETH KENJI TANAKA
Douglas Scott Gahn

Other Offices

LPL FINANCIAL LLC · HUNTINGTON BEACH, CA
J.P. MORGAN SECURITIES LLC · HUNTINGTON BEACH, CA
CETERA INVESTMENT ADVISERS LLC · HUNTINGTON BEACH, CA
SIMPLICITY WEALTH · Huntington Beach, CA
WELLS FARGO CLEARING SERVICES, LLC · HUNTINGTON BEACH, CA
AE WEALTH MANAGEMENT, LLC · HUNTINGTON BEACH, CA
INTEGRATED WEALTH CONCEPTS LLC · HUNTINGTON BEACH, CA
THRIVENT INVESTMENT MANAGEMENT INC. · HUNTINGTON BEACH, CA

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