David Michael Ward

Current Employers

Employment History

• 09/2006 → 12/2016
  Us Trust / Bank Of America U.S. Trust Private Bank
  Los Angeles, CA
• 12/2016 → 01/2021
  Lincoln Financial Advisors
  Glendale, CA
• 01/2021 → 02/2024
  Massmutual Life Insurance
  Pasadena, CA
• 01/2021 → 02/2024
  Mml Investors Services, Llc
  Pasadena, CA
• 02/2024 → 09/2024
  Cetera Advisor Networks Llc
  El Segundo, CA
• 02/2024 → 09/2024
  Sovran Advisors Llc - Crd 329415
  Pasadena, CA
• 12/2024 → Present
  Brookside Studios Llc Dba Brookside Strategy And Consulting
  Burbank, CA

Previous Registrations

• 2024-02-23 → 2024-10-16
  Sovran Advisors, Llc
  San Diego, CA
  Pasadena, CA
• 2021-02-02 → 2024-03-06
  Mml Investors Services, Llc
  Pasadena, CA
• 2017-01-19 → 2021-02-04
  Osaic Fa, Inc.
  Glendale, CA

Other Businesses

1. NAME OF OTHER BUSINESS: CFA SOCIETY OF LOS ANGELES; INVESTMENT RELATED: NO; ADDRESS: LOS ANGELES, CA 90071; NATURE OF BUSINESS: EDUCATION / CFA PROGRAM; START DATE: 01/2006; POSITION/TITLE/RELATIONSHIP: COORDINATOR AND INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PROVIDE INSTRUCTION FOR CFA CANDIDATES FOR THE CFA REVIEW PROGRAM; 2. NAME OF OTHER BUSINESS: YMCA OF THE FOOTHILLS; INVESTMENT RELATED: NO; ADDRESS: LA CANADA, CA 91011; NATURE OF BUSINESS: HEALTH, ATHLETIC, EDUCATIONAL, AND OTHER RELATED COMMUNITY SERVICES; START DATE: 06/2006; POSITION/TITLE/RELATIONSHIP: MEMBER OF HERITAGE CLUB / PLANNED GIVING COMMITTEE AND DEVELOPMENT COMMITTEE; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: FUNDRAISING EFFORTS FOR THE LOCAL YMCA. DUTIES INCLUDE MEETING AND HELPING WITH SELECTED EVENTS AND ACTIVITIES; 3. NAME OF OTHER BUSINESS: DAVID WARD, INDIVIDUAL; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: POLICY WITH PACIFIC LIFE THAT WAS PLACED PRIOR TO MY REGISTRATION WITH MY PRIOR FIRM. THIS OUTSIDE ACTIVITY ACCOMMODATES THAT POLICY; START DATE: 01/2021; POSITION/TITLE/RELATIONSHIP: INDIVIDUAL INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: POLICY WITH PACIFIC LIFE THAT WAS PLACED PRIOR TO MY REGISTRATION WITH MY PRIOR FIRM. THIS OUTSIDE ACTIVITY ACCOMMODATES THAT POLICY; 4. NAME OF OTHER BUSINESS: VERDUGO HILLS COUNCIL - BOY SCOUTS OF AMERICA; INVESTMENT RELATED: NO; ADDRESS: GLENDALE, CA 91201; NATURE OF BUSINESS: BOY SCOUTS OF AMERICA / PROVIDE PROGRAMMING, EDUCATION AND COMMUNITY SERVICES TO BOYS AND GIRLS IN THE LOCAL COMMUNITY; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: MEMBER OF FINANCE COMMITTEE, INVESTMENT COMMITTEE AND MEMBERSHIP COMMITTEE / ASSISTANT SCOUT MASTER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES. PROVIDE PLANNING AND OVERSIGHT ACTIVITIES FOR COUNCIL;

Exams

• S63 Uniform Securities Agent State Law Examination
  2017-01-03
• S65 Uniform Investment Adviser Law Examination
  2000-01-13

Designations

Other Names

• David Michael Ward