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CF

Carol L. Ford

Some features on this profile are disabled
CRD#: 1359860
CF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carol Lynne Ford, who also goes by Carol Lynne Ford, Carol Lynne Verstelle Ford, Carol Lynne Verstelle, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 1985. Carol had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carol Lynne Ford | Carol Lynne Verstelle Ford | Carol Lynne Verstelle

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 2, 2011 - September 2, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
SAN MATEO, CA
Past

March 1, 2011 - September 2, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN MATEO, CA
Past

April 7, 2009 - March 3, 2011

ARETE WEALTH ADVISORS, LLC

RIA
CRD#: 145488
CHICAGO, IL
Past

March 26, 2009 - March 3, 2011

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
SAN RAFAEL, CA
Past

March 4, 2009 - March 19, 2009

PRIVATE WEALTH ADVISORS, INC.

RIA
CRD#: 148144
SAN FRANCISCO, CA
Past

August 15, 2007 - December 31, 2008

PRIVATE CONSULTING GROUP, INC.

RIA
CRD#: 45053
SAN MATEO, CA
Past

August 13, 2007 - March 19, 2009

PRIVATE CONSULTING GROUP, INC.

BD
CRD#: 45053
PORTLAND, OR
Past

January 10, 2006 - June 30, 2006

FRONTIER SOLUTIONS, LLC

BD
CRD#: 136102
RICHMOND, VA
Past

August 29, 2005 - December 31, 2005

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
SAN JOSE, CA
Past

June 4, 2003 - March 3, 2006

FINANCIAL CATALYST GROUP

RIA
CRD#: 113231
SAN JOSE, CA
Past

March 19, 2003 - December 31, 2005

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

January 9, 1989 - November 27, 1989

GAF FINANCIAL AND INSURANCE SERVICES

BD
CRD#: 14123
Past

November 10, 1988 - December 2, 1989

PAMCO SECURITIES AND INSURANCE SERVICES

BD
CRD#: 11028
Past

January 20, 1988 - October 24, 1988

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
Past

April 26, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

April 26, 1985 - January 7, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/26/2003
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/2/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/12/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 2/23/2006
NFA Branch Manager Examination

Current Firm

FT
FINANCIAL TELESIS INC
FINANCIAL TELESIS INC | JHW FINANCIAL SERVICES INC. | FINANCIAL TELESIS, INC. | FINANCIAL TELESIS INC.

CRD#: 31012 / SEC#: 801-63974, 8-45304

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Mailing Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Phone number
(415) 526-2759
Established
California since 11/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/31/2014)

Direct owners and executive officers

NamePositionCRD#
COLLINS, ELIZABETH SARAHPRESIDENT, CFO, FINOP, CCO4714831
WILLIAMS, JAMES HOUSTONPRINCIPAL1482414

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FINANCIAL TELESIS INC

CRD#: 31012

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