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Keith Richard Ward

Investment Adviser Representative at FOUR POINTS ADVISORS, LLC

Cos Cob, CTCRD #4500701Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
26 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Keith Richard Ward has worked in the securities industry since 2002. They are registered to provide investment advisory services in 26 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 26 states
ArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIllinoisIowaMarylandMassachusettsMichiganNevadaNew JerseyNew YorkNorth DakotaOhioPennsylvaniaPuerto RicoRhode IslandSouth DakotaTennesseeTexasWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/19/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 2/19/2005
Series 7
General Securities Representative Examination
Passed 6/21/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $2,000,0001.75%
$2,000,001 - $5,000,0001.25%
Over $5,000,0000.00%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

FOUR Points Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FOUR POINTS ADVISORS, LLCCurrent
6/20/2025Cos Cob, CT
FOUR POINTS CAPITAL PARTNERS LLCCurrent
6/6/2025Cos Cob, CT
J.P. MORGAN SECURITIES LLC
5/10/20214/4/2025New York, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
10/5/20125/11/2021Greenwich, CT
MORGAN STANLEY
6/1/200910/24/2012Greenwich, CT
MORGAN STANLEY & CO. INCORPORATED
3/28/20086/1/2009Greenwich, CT
UBS FINANCIAL SERVICES INC.
9/20/20024/22/2008Stamford, CT

Official records & sources

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at FOUR POINTS ADVISORS, LLC

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View FOUR POINTS ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Keith Richard Ward has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Keith Richard Ward - Financial Advisor in Cos Cob, CT | AdvisorFinder