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FRANK JOHN WARD
CRD#: 1621434
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 16770 W Maple Road
Omaha, NE 68116
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 16770 W. MAPLE ROAD
OMAHA, NE 68116
Registration History
199019952000200520102015202020252 FIRMS1998 - 2008 (10 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - Present (9 years)BPRINCIPAL FINANCIAL SECURITIES... (CRD# 260)1994 - 1998 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1987 - 1994 (7 years)
Disclosure(s)
View By:
7/21/1998
Customer Dispute
Denied
2/5/1995
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/4/2022

IA
Nebraska 6/19/2015

B
California 6/17/2015

B
Nevada 1/22/2021

B
Colorado 6/17/2015

B
North Carolina 9/6/2018

B
Florida 6/17/2015

B
Ohio 2/22/2023

B
Idaho 3/13/2023

B
Pennsylvania 1/20/2022

B
Iowa 6/17/2015

B
Tennessee 6/17/2015

B
Kansas 7/7/2017

B
Texas 10/24/2017

B
Kentucky 12/23/2024

B
Virginia 6/17/2015

B
Missouri 2/22/2023

B
West Virginia 6/5/2023

B
Nebraska 6/18/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
16770 W Maple Road, Omaha, NE 68116
Registered with this firm since 6/19/2015

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
16770 W. MAPLE ROAD, OMAHA, NE 68116
Registered with this firm since 6/17/2015

Previous Registration(s)
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IA
04/08/2013 - 06/18/2015 FIRST NATIONAL CAPITAL MARKETS, INC. (CRD#:115920) OMAHA, NE
B
04/08/2013 - 06/18/2015 FIRST NATIONAL CAPITAL MARKETS (CRD#:115920) OMAHA, NE
IA
10/05/2009 - 04/09/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) OMAHA, NE
B
10/05/2009 - 04/09/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) OMAHA, NE
IA
08/01/2008 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) OMAHA, NE
B
07/25/2008 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) OMAHA, NE
IA
05/11/1998 - 07/30/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) OMAHA, NE
B
05/11/1998 - 07/30/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) OMAHA, NE
B
09/16/1994 - 05/11/1998 PRINCIPAL FINANCIAL SECURITIES,INC. (CRD#:260) DALLAS, TX
B
01/21/1987 - 10/22/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.