Kelly Ward has been an investment adviser representative at Phoenix Wealth Advisors since May 2018, and is not listed among the firm’s executive officers or direct owners.
Phoenix Wealth Advisors Inc. is a Chapel Hill, NC firm with $641M under management, 1,592 clients and 7 advisers in one office, as of its July 2026 filing.
Kelly Ward’s longest registration is the current one, 8 years at Phoenix Wealth Advisors since 2018. Before joining Phoenix Wealth Advisors in 2018, Kelly Ward was registered through Morgan Stanley and Citigroup Global Markets Inc.
- Morgan Stanley– · 7 yearsDurham, NC · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 1 yearDurham, NC · Adviser representative · Firm CRD 7059
- Citigroup Global Markets Inc.– · 4 yearsDurham, NC · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Kelly Ward is registered as an investment adviser representative in North Carolina, since May 2018.
- North CarolinaSince 11 May 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 13 June 2007 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 7 April 2006 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 6 February 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 November 2000 |
| Series 7 | General Securities Representative Examination | 29 July 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kelly A Ward
- CRD
- 4056006
- Firm
- Phoenix Wealth Advisors · CRD 118412
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Kelly Ward work?
Kelly Ward is an investment adviser representative registered through Phoenix Wealth Advisors Inc. since May 2018, and is not listed among the firm’s executive officers or direct owners.
Is Kelly Ward a financial advisor?
Yes. Kelly Ward has a current investment-adviser registration in North Carolina, through Phoenix Wealth Advisors since May 2018.
How many years of experience does Kelly Ward have?
Kelly Ward has 26 years in the financial industry, since July 2000, across 3 adviser firms.
What exams has Kelly Ward passed?
Kelly Ward has passed 5 licensing exams: the Series 7, Series 63, Series 9, Series 10 and Series 66. The earliest, the Series 7, was passed in July 2000. FINRA credited Kelly Ward with the SIE, which began in October 2018.
Where did Kelly Ward work before Phoenix Wealth Advisors?
Before Phoenix Wealth Advisors, Kelly Ward was registered through Morgan Stanley, June 2009 to October 2016; Citigroup Global Markets Inc., June 2007 to June 2009; Citigroup Global Markets Inc., August 2000 to May 2005.
Is Kelly Ward registered with FINRA?
Yes. Kelly Ward has a current broker registration, under CRD 4056006.
Source: FINRA BrokerCheck
How can I verify Kelly Ward’s record?
Search CRD 4056006 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kelly Ward’s full registration record.