Unclaimed Profile

James Leo Ward

MMWKM ADVISORS, LLC·PLANO, Texas

Series 7, Series 24, Series 63, Series 65Clean record18 years registeredMMWKM ADVISORS, LLC

2820 DALLAS PARKWAY, PLANO, TX 75093CRD# 2366852Firm CRD# 157222

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Leo Ward · PLANO, TX

Registration

CRD #2366852 · MMWKM ADVISORS, LLC · 18 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: MMWKM ADVISORS, LLC

RETIREMENT PLANNERS OF AMERICA

Dec 2020 – Oct 2024

PLANO, TX

SEI INVESTMENTS MANAGEMENT CORP

Sep 2007 – Jul 2020

San Rafael, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · September 10, 2007

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RPOA ADVISORS, INC.

CRD 157222 · SEC 801-72262

AUM

$3.6B

Regulatory assets under management

Employees

122

15,137 client accounts

Services offered by RPOA ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RPOA ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does James Leo Ward offer?

James Leo Ward specializes in Financial Planning, Investment Management, Fee-Only Advisory.

What are James Leo Ward's credentials?

James Leo Ward is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Leo Ward located?

James Leo Ward is based in PLANO, Texas, last registered with MMWKM ADVISORS, LLC.

How does James Leo Ward charge for services?

James Leo Ward's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MMWKM ADVISORS, LLC?

MMWKM ADVISORS, LLC has approximately 122 employees and manages $3.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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