Richard James Ward

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2012 → Present
  Stifel, Nicolaus & Company, Incorporated
  Irvine, CA

Previous Registrations

• 1997-07-08 → 2012-05-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
  Newport Beach, CA

Other Businesses

1. FINANCIAL PLANNING ASSOCIATION;MEMBER;2 HRS/MONTH; DURING SECURITIES TRADING HOURS. 2. UCLA CHANCELLORS ASSOCIATES; MEMBERSHIP GROUP OF UNIVERSITY DONORS; 1 HOUR PER QUARTER; NOT DURING SECURITIES HOURS. 3. INTERNATIONAL ASSOCIATION OF ADVISORS IN PHILANTHROPY; MEMBER; 1 HOUR PER QUARTER; DURING SECURITIES TRADING HOURS. 4. THE UCLA FOUNDATION; GOVERNOR; 1 HOUR PER QUARTER; NOT DURING SECURITIES HOURS. 5. Advisors in Philanthropy Orange County Chapter; Volunteer organization made up of professional advisors supporting philanthropy; Board member; help advise leaders on goals, plans, and activities; affiliation started 09/21/2015; 5 hours per month; during securities trading hours; not investment related. 6. Author, Redefining Retirement; 3 Leatherwood Irvine CA 92612; Author of self-help book; Author; Writing the book, self-publishing the book; affiliation started 01/29/2016; 2 hours per month; during securities trading hours; investment related. 7. The Passkeys Foundation/Institute for Community Impact; PO Box 4137 Mission Viejo, 92690-4137; Community Involvement; Advisory Board Member; Advise on organization's mission and activities;06/01/2017; 1.0 hours per month; during securities trading hours; Not Investment Related. 8. OneOC; 1901 E. Fourth Street Santa Ana CA 92705; Nonprofit services; Chairman of the Encore Advisory Board; Attend meetings, represent the Board; 02/05/2018; 2.00 Hour(s) Per Month; During securities trading hours; Not Investment-Related 9. Success with Purpose; Irvine, CA 92612; Owner - Promoting local philanthropy, promoting authorship of books related to philanthropy; 12/15/2017; 5.00 Hour(s) Per Month - may be during securities trading hours; Not Investment-Related 10. OneOC; 1901 E 4th St Santa Ana CA 92705;Supporting nonprofit organizations and volunteers; Member of Board of Directors; Provide oversight for management of organization; 7/30/19;2 hr/mo; during securities trading hours; not investment related. 11. OneOC Success with Purpose Community Fiscal Sponsor Project; 1901 E. Fourth Street, Ste. 100 Santa Ana CA 92705; Conducts educational events to promote community engagement and philanthropy; Project Director- Organizer of quarterly events; I will organize quarterly events and be responsible for arranging vendors for events and securing guests and sponsors; 01/08/2024; 8.00hrs/month; During securities trading hours; not investment related. 12. The Park Club California; 650 Town Center Drive Costa Mesa CA 92626; Private Social Club; Member of the Board of Governors; Advise on membership policies; 11/18/2024; 2 hrs/quarter; During Security Trading Hours; Not Investment-Related 13. Working Wardrobes; 2000 E McFadden Ave Santa Ana, CA 92705; Nonprofit Organization serving people with job training and preparation services; Member of the Board of Directors; Provide oversight of the organization's operations and plans; 01/01/2026; 5hrs/mth; During securities trading hours; Not investment related

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-11-28
• S63 Uniform Securities Agent State Law Examination
  1988-09-27

Designations

• Certified Financial Planner