Joseph Ward
Joseph Ward is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in West Hartford, CT, with 2 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
29 S Main St Ste 201, West Hartford, CT, 06107-2454
Get directionsHistory
Regulatory History (2)
Customer Dispute
January 2024Customer Dispute
December 2023Other Business Activities
Joseph works as a driver for DoorDash, a delivery service, since December 2024. This takes a few hours per week, with minimal time spent during securities trading hours.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations16 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.