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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KEITH RICHARD WARD

Advisor at FOUR POINTS ADVISORS, LLC

NEW YORK, NY | Cos Cob, CT

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Search this name across graphsid dfx:ria:ba845464-1a72-c305-daca-5cc070ae9f1a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 20, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOUR POINTS ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 19, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 19, 2002
First registration: Sep 20, 2002
Dual registered: yes, broker-dealer
Other names: KR WARD|KEITH WARD
IAPD individual key: 4500701

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FOUR POINTS ADVISORS, LLC	Independent wealth	Jun 20, 2025	n/a	yes	Cos Cob, CT\|NEW YORK, NY	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	May 10, 2021	Apr 4, 2025	no	NEW YORK, NY\|Cos Cob, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 5, 2012	May 11, 2021	no	GREENWICH, CT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 24, 2012	no	Greenwich, CT	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Mar 28, 2008	Jun 1, 2009	no	GREENWICH, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 20, 2002	Apr 22, 2008	no	STAMFORD, CT\|STAMFORD, CT\|STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	FOUR POINTS ADVISORS, LLC	Apr 4, 2025	Jun 20, 2025	77	Firm change	Wirehouse to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	May 11, 2021	May 10, 2021	-1	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 24, 2012	Oct 5, 2012	-19	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY & CO. LLC	Apr 22, 2008	Mar 28, 2008	-25	Firm change	Other

Relationships

Registered with (6)

→ FOUR POINTS ADVISORS, LLCRegistered adviserregistration: current employment
Jun 20, 2025 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 10, 2021 to Apr 4, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 5, 2012 to May 11, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 24, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Mar 28, 2008 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 20, 2002 to Apr 22, 2008factForm ADV

Dated events

Occurred
Apr 4, 2025
Advisor changed firm
Keith Richard Ward left J.P. Morgan Securities Llc for Four Points Advisors, Llc (registered 2025-06-20)
Form ADVobserved 6 days ago