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Richard Ward

Ameriprise Financial Services, LLC

Raleigh, NC

Apex, NC

Scottsdale, AZ

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-06-26
NC RA APPROVED 2026-06-10
FL RA APPROVED 2021-04-06
TX RA APPROVED 2021-04-06
  • AZ RA
    APPROVED
    Since 2026-06-26
  • NC RA
    APPROVED
    Since 2026-06-10
  • FL RA
    APPROVED
    Since 2021-04-06
  • TX RA
    APPROVED
    Since 2021-04-06

Branch Locations

3600 Glenwood Ave Ste 130, Raleigh, NC 27612 • United States

Apex, NC • United States

16220 N Scottsdale Rd Ste 250, Scottsdale, AZ 85254 • 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
The Vanguard Group, Inc. Scottsdale AZ 08/2016 08/2018
Ameriprise Financial Services, Inc Minneapolis MN 10/2018 03/2020
Ameriprise Financial Services, Llc Scottsdale AZ 03/2020 Present
  • 08/2016 → 08/2018
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 10/2018 → 03/2020
    Ameriprise Financial Services, Inc
    Minneapolis, MN
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Scottsdale, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-26
S63 Uniform Securities Agent State Law Examination 2016-09-22
  • S66 Uniform Combined State Law Examination
    2020-06-26
  • S63 Uniform Securities Agent State Law Examination
    2016-09-22
Other Names
  • Ricky Lavalle Ward
  • Richard L Ward
  • Ricky Ward
  • Richard Lavalle Ward
  • Richard L Ward

View on SEC IAPD

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William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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