Joseph A Ward

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2023-06-15
TX	RA	APPROVED	2022-10-31
NJ	RA	APPROVED	2022-09-29

PA RA
APPROVED

Since 2023-06-15
TX RA
APPROVED

Since 2022-10-31
NJ RA
APPROVED

Since 2022-09-29

Branch Locations

1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	10/2021	Present
Sam Ash Music	Cherry Hill	NJ	05/2012	10/2021
Bank Of America N.A.	Pennington	NJ	01/2023	Present

10/2021 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
05/2012 → 10/2021

Sam Ash Music

Cherry Hill, NJ
01/2023 → Present

Bank Of America N.A.

Pennington, NJ

Other Businesses

I*: 1776265 Name of other Business: Self Employed Musician Not Investment Related: No Address: Levittown, PA Nature of other business: Musician Your position: Musician Start date: 04/05/2004 Approximate number of hours: 4 hrs weekly Number of hours during securities trading: 0 Briefly describe your duties relating other business: Perform as musician at weddings on weekends.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-08-29

S66 Uniform Combined State Law Examination

2022-08-29

View on SEC IAPD