Bert Patrick Ward

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Current Employers

Capacuity Llc

300 International Parkway Suite 350, Lake Mary, FL 32746 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-04-06
NC	RA	APPROVED	2022-03-22

FL RA
APPROVED

Since 2022-04-06
NC RA
APPROVED

Since 2022-03-22

Branch Locations

300 International Parkway Suite 350, Lake Mary, FL 32746 • United States

Apex, NC • 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

Organization	City	State	From	To
Principal Securities Inc	Raleigh	NC	03/2016	01/2022
Capacuity Llc	Lake Mary	FL	01/2022	Present

03/2016 → 01/2022

Principal Securities Inc

Raleigh, NC
01/2022 → Present

Capacuity Llc

Lake Mary, FL

Previous Registrations

2011-12-16 → 2022-01-23

Principal Securities, Inc.

Raleigh, NC

Des Moines, IA

Raleigh, NC
2006-07-07 → 2009-12-31

Principal Securities, Inc.

Raleigh, NC
2005-09-19 → 2006-06-01

Morgan Stanley Dw Inc.

Raleigh, NC

Raleigh, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-09-16

S66 Uniform Combined State Law Examination

2005-09-16

Designations

Other Names

Bert Patrick Ward

View on SEC IAPD

Other Firms

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HAYSLEY FINANCIAL SERVICES, INC.

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JACKSON WEALTH MANAGEMENT, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

JEFFREY JOSEPH HOVERMALE

RICHARD ALLEN HUMPHREYS

JOHN DUSTIN RIGGS

GEOFFREY DEAN VOORHEES

WILBERT ERNEST OAKLEY

CHRISTOPHER BRIAN HAYSLEY

MARISA ANNE BRADBURY

Other Offices

ROBO ADVISOR, INC. · LAKE MARY, FL

BLUESTAR WEALTH MANAGEMENT · LAKE MARY, FL

FAMILYWEALTH · LAKE MARY, FL

FAMILYWEALTH ASSET MANAGEMENT · LAKE MARY, FL

HAYSLEY FINANCIAL SERVICES, INC. · LAKE MARY, FL

SIGMA INVESTMENT COUNSELORS · LAKE MARY, FL

JACKSON WEALTH MANAGEMENT, LLC · LAKE MARY, FL

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Mary, FL

More in Lake Mary, FL

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