RF
Roger L. Ford
AE WEALTH MANAGEMENT
Harrison, OH 45030
Some features on this profile are disabled
CRD#: 1537481
RF
Professional summary
Roger Lee Ford, who also goes by Rodger Lee Ford, Rodger Ford, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Harrison, Ohio and MADISON AVENUE SECURITIES, LLC located in Harrison, Ohio.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Roger has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rodger Lee Ford | Rodger Ford
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.
1)NAME: CONSERVATIVE FINANCIAL SOLUTIONS, LLC; INV RELATED:YES; ADDRESS:10403 HARRISON AVE, SUITE 100 HARRISON, OH 45030; NATURE: FINANCIAL CONSULTING ADVICE, FIXED INSURANCE SALES, REGISTERED FINANCIAL CONSULTANT; POSITION:FOUNDER, IAR, RFC; START DATE:08/1985; HOURS/MONTH:173; TRADING HOURS/MONTH:40; DUTIES:WEALTH ADVISOR 2)NAME: RENTAL PROPERTY; INV RELATED:NO; ADDRESS:10403 AND 10405 HARRISON AVE, HARRISON, OH 45030 ; NATURE:RENTAL PROPERTYT; POSITION:OWNER/LANDLORD; START DATE:2003 and 2002; HOURS/MONTH:1; TRADING HOURS/MONTH:0; DUTIES:OVERSEE PROPERTIES. 3)NAME:HARRISON TAX & ACCOUNTING; INV RELATED:NO; ADDRESS:10403 HARRISON AVE, SUITE 300 HARRISON, OH 45030; NATURE:ACCOUNTING, PAYROLL & TAX SERVICES ; POSITION:FOUNDER; START DATE:09/2004; HOURS/MONTH:4-5; TRADING HOURS/MONTH:4; DUTIES: I PAY A CPA TO RUN DAY TO DAY OPERATIONS 4)NAME: C&R FARM; INV RELATED:NO; ADDRESS:11481 DEER TRACE LANE HARRISON, OH 45030; NATURE:FARMING; POSITION:OWNER; START DATE:02/2003; HOURS/MONTH:4; TRADING HOURS/MONTH:0; DUTIES: FARMING LIVESTOCK. 5) NAME: MADISON AVENUE SECURITIES, LLC; YES INVESTMENT RELATED; 13500 EVENING CREEK DR. N SUITE 555, SAN DIEGO, CA 92128; BROKER DEALER; REGISTERED REPRESENTATIVE; START DATE 05/2017; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; SECURITIES SALES AND SERVICES. 6.) NAME: ADVISORS EXCEL; INV RELATED: YES; ADDRESS: 2950 SW McCLURE ROAD, TOPEKA, KS 66614; NATURE: INSURANCE PRODUCTS OFFERED THROUGH AE POSITION: INSURANCE AGENT; START DATE:05/04/2017 ; HOURS/MONTH: 40; TRADING HOURS/MONTH: 40; DUTIES: INSURANCE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Roger Lee Ford's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 4, 2017 - Present
AE WEALTH MANAGEMENT, LLC
Office #1: 10403 Harrison Ave Suite 100, Harrison, OH 45030Office #2: 348 Walnut St, Lawrenceburg, IN 47025Office #3: 155 N Fort Thomas Ave, Ft. Thomas, KY 41075Office #4: 2135 Chamber Center Dr, Lakeside Park, KY 41017Office #5: 7908 Cincinnati Dayton Rd Ste I, West Chester, OH 45069RIA
CRD#: 282580
Harrison, OH
Current
May 4, 2017 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 10403 Harrison Ave Suite 100, Harrison, OH 45030Office #2: 7908 Cincinnati Dayton Road, Suite I, West Chester Township, OH 45069Office #3: 2135 Chamber Center Drive, Fort Mitchell, KY 41017Office #4: 348 Walnut St, Lawrenceburg, IN 47025RIA
BD
CRD#: 23224
Harrison, OH
Past
May 4, 2017 - May 4, 2017
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
SAN DIEGO, CA
Past
March 23, 2011 - May 5, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
HARRISON, OH
Past
March 18, 2011 - May 5, 2017
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
HARRISON, OH
Past
August 25, 2003 - March 23, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
HARRISON, OH
Past
August 14, 2003 - March 23, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
HARRISON, OH
Past
May 7, 2003 - August 15, 2003
USA FINANCIAL SECURITIES LLC
RIA
CRD#: 103857
HARRISON, OH
Past
June 27, 2001 - August 15, 2003
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
ADA, MI
Past
July 11, 2000 - June 28, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
September 25, 1998 - July 14, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
April 5, 1990 - September 25, 1998
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
February 23, 1987 - March 20, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(5/5/2017)
RR
Colorado(8/24/2023)
RR
Florida(5/4/2017)
RR
Georgia(5/4/2017)
RR
Indiana(5/9/2017)
IAR
Indiana(5/21/2019)
RR
Kansas(10/23/2019)
RR
Kentucky(5/4/2017)
IAR
Kentucky(1/15/2019)
RR
Michigan(6/27/2017)
RR
North Carolina(8/25/2023)
RR
Ohio(5/4/2017)
IAR
Ohio(5/4/2017)
RR
Tennessee(5/25/2017)
RR
Texas(10/17/2019)
IAR
Texas(12/6/2022)
RR
Virginia(8/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
Phone number
(866) 363-9595
Established
Firm type
Fiscal year end
# of Employees
602
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580Harrison, OH 45030TRUST BUT VERIFY
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