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CFP · ChFC
BW
CFP · ChFC

Bruce Ward

Prospera Financial Services, INC.
35 Years of Experience
Ballwin, MO
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Bruce Ward is a CFP, ChFC-designated registered investment advisor at Prospera Financial Services, INC., based in Ballwin, MO, with 35 years of industry experience. Bruce is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
280 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

15415 Clayton Road, Ballwin, MO, 63011

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History

Regulatory History (2)
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
May 2020
Denied
Customer Dispute
December 2013
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Bruce is a servicing agent for Guardian Life policies, dedicating minimal time and receiving no compensation. He also volunteers as an Academy Admissions Partner & MO State Coordinator for the U.S. Coast Guard Academy, and as Volunteer President of the Diocesan Investment Trust of MO, each taking minimal time.

Employment History
Current Registrations
Prospera Financial Services, INC.Broker
May 2025 - Present · 1 yr 5 mos
Prospera Financial Services, INC.
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Cutter & Company, INC.
May 2021 - May 2025 · 4 yrs
Cutter & Company, INC.Broker
May 2021 - May 2025 · 4 yrs
MML Investors Services, LLCBroker
March 2017 - April 2021 · 4 yrs 1 mo
MML Investors Services, LLC
March 2017 - April 2021 · 4 yrs 1 mo
Msi Financial Services, INC.
January 2015 - March 2017 · 2 yrs 2 mos
Msi Financial Services, INC.Broker
January 2015 - March 2017 · 2 yrs 2 mos
New England Securities Corporation
November 2007 - January 2015 · 7 yrs 2 mos
New England SecuritiesBroker
November 2007 - January 2015 · 7 yrs 2 mos
Park Avenue Securities LLC
January 2001 - November 2007 · 6 yrs 10 mos
Park Avenue Securities LLCBroker
May 1999 - November 2007 · 8 yrs 6 mos
Guardian Investor Services CorporationBroker
September 1991 - May 1999 · 7 yrs 8 mos
State Registrations8 states
AZCTFLILMONENYVA
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.
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