Carlos Ward
Carlos Ward is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Middletown, DE, with 33 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
4353 Summit Bridge Road, Middletown, DE, 19709
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Carlos works full-time as a System Engineer for Dell Computers and spends minimal time as an insurance agent for Efficient Frontier Group, placing life insurance policies. He also oversees a property manager for EFG Professional Office Space and is an investor in Forward Real Estate, a house-flipping business started by his son.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
First Allied Advisory Services, INC.
First Allied Securities, INC.Broker
First Allied Securities, INC.
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
American General Securities Incorporated
American General Securities IncorporatedBroker
Uslife Equity Sales CORP.Broker
PFS Investments INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations12 states
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.