FW
FW
Frank Ward
39 Years of Experience
Omaha, NE
3 DisclosuresBroker
Frank Ward is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Omaha, NE, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
16770 W Maple Road, Omaha, NE, 68116
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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2025Denied
Customer Dispute
July 1998Denied
Customer Dispute
February 1995Settled
Other Business Activities
Frank works as a senior manager and advisor in a bank branch for First Investments and Planning, and also manages advisors and accounts for FNBO. These activities each take about half of Frank's time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
June 2015 - Present · 11 yrs 1 mo
Raymond James Financial Services, INC.Broker
June 2015 - Present · 11 yrs 1 mo
Previous Registrations
First National Capital Markets, INC.
April 2013 - June 2015 · 2 yrs 2 mos
First National Capital MarketsBroker
April 2013 - June 2015 · 2 yrs 2 mos
Ameriprise Financial Services, INC.Broker
October 2009 - April 2013 · 3 yrs 6 mos
Ameriprise Financial Services, INC.
October 2009 - April 2013 · 3 yrs 6 mos
Ameriprise Advisor Services, INC.
August 2008 - October 2009 · 1 yr 2 mos
Ameriprise Advisor Services, INC.Broker
July 2008 - October 2009 · 1 yr 3 mos
Wachovia Securities, LLCBroker
May 1998 - July 2008 · 10 yrs 2 mos
Wachovia Securities, LLC
May 1998 - July 2008 · 10 yrs 2 mos
Principal Financial Securities,inc.Broker
September 1994 - May 1998 · 3 yrs 8 mos
Painewebber IncorporatedBroker
January 1987 - October 1994 · 7 yrs 9 mos
State Registrations19 states
AZCACOFLIAIDKSKYMONCNENVOHPASDTNTXVAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.