Richard Ward
Richard Ward is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Irvine, CA, with 46 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
400 Spectrum Center Drive, Irvine, CA, 92618
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 1994Other Business Activities
Richard is involved in numerous philanthropic and community organizations, including serving as a board member for several non-profits and advisory roles. He also authored a self-help book related to retirement and owns a business promoting local philanthropy and authorship.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Dean Witter Reynolds INC.Broker
State Registrations17 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.