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Frank Charles Ward

LPl Financial LLC

Morristown, NJ

San Diego, CA

Morristown, NJ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-06-12
NJ RA APPROVED 2021-04-30
  • TX RA
    APPROVED
    Since 2024-06-12
  • NJ RA
    APPROVED
    Since 2021-04-30

Branch Locations

20 Community Pl Ste 100, Morristown, NJ 07960 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

20 Community Pl Ste 100, Morristown, NJ 07960 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 05/2019 04/2021
Prefeerred Freezer Services Jersey City NJ 02/2018 04/2019
Granite Telecommunications New York NY 06/2016 06/2017
Unemployed Morristown NJ 07/2017 01/2018
Premier Parking Enterprises Wyckoff NJ 11/2017 02/2018
Lpl Financial Llc Morristown NJ 04/2021 Present
  • 05/2019 → 04/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lincoln, RI
  • 02/2018 → 04/2019
    Prefeerred Freezer Services
    Jersey City, NJ
  • 06/2016 → 06/2017
    Granite Telecommunications
    New York, NY
  • 07/2017 → 01/2018
    Unemployed
    Morristown, NJ
  • 11/2017 → 02/2018
    Premier Parking Enterprises
    Wyckoff, NJ
  • 04/2021 → Present
    Lpl Financial Llc
    Morristown, NJ
Previous Registrations
Other Businesses

1)4/2021- Investment Strategies Advisors LLC- DBA for LPL Business (entity for LPL business) - Inv. Related- Morristown, NJ- 100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-20
  • S66 Uniform Combined State Law Examination
    2019-12-20
Designations
Other Names
  • Frank Charles Ward
  • Frank Charlie Ward
  • Charlie Ward
  • Charles Ward
  • Frank Ward

View on SEC IAPD

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Other Offices

EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
KIELY CAPITAL MANAGEMENT, INC. · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
MML INVESTORS SERVICES, LLC · Morristown, NJ
EQUITABLE ADVISORS, LLC · MORRISTOWN, NJ
HIMCO, LLC · MORRISTOWN, NJ
WELLS FARGO CLEARING SERVICES, LLC · MORRISTOWN, NJ

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