Joseph C. Ford

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CRD#: 1616257

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.

Joseph Charles Ford, who also goes by Joe Ford, Joseph Charles Ford, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Ford | Joseph Charles 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.

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

April 22, 2013 - June 13, 2013

TEXAS E&P PARTNERS, INC.

CRD#: 127228

RICHARDSON, TX

Past

June 13, 2011 - November 14, 2011

CALDWELL INTERNATIONAL SECURITIES

CRD#: 104323

NASSAU,

Past

April 5, 2011 - May 18, 2011

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BELLAIRE, TX

Past

April 11, 2008 - July 7, 2009

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

April 18, 2007 - April 29, 2008

GEMSTONE SECURITIES LLC

CRD#: 128267

BALTIMORE, MD

Past

February 13, 2006 - March 28, 2007

THE RIDERWOOD GROUP INCORPORATED

CRD#: 16681

TOWSON, MD

Past

June 28, 2004 - February 15, 2006

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

March 7, 2003 - May 2, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

December 9, 2002 - March 7, 2003

FIRST INSTITUTIONAL SECURITIES, L.L.C.

CRD#: 23910

WEST PATERSON, NJ

Past

March 29, 2002 - November 18, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

September 24, 1992 - December 21, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

IAR

Series 66

Date: 3/20/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/23/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/2006

General Securities Principal Examination

Current Firm

TEXAS E&P PARTNERS, INC.

CHESTNUT ENERGY PARTNERS, INC. | TEXAS E&P PARTNERS, INC. | PLUMMER SECURITIES, INC. | CHESTNUT EXPLORATION PARTNERS, INC.

CRD#: 127228 / SEC#: , 8-65968

Terminated by SEC on 11/22/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 09/05/2002

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PLUMMER HOLDINGS CORP.	PARENT COMPANY

Disclosures

Regulatory Event	4
Arbitration	3

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.

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Firm Stability Insights

Joseph C. Ford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CALDWELL INTERNATIONAL SECURITIES

SHEARSON FINANCIAL SERVICES, LLC

MAXIM GROUP LLC

GEMSTONE SECURITIES LLC

THE RIDERWOOD GROUP INCORPORATED

B. RILEY SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

FIRST INSTITUTIONAL SECURITIES, L.L.C.

EQUITABLE ADVISORS, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/20/2002

Series 63

Date: 11/13/1992

Series 7

Date: 9/23/1992

Series 24

Date: 9/2/2006

Current Firm

TEXAS E&P PARTNERS, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TEXAS E&P PARTNERS, INC.

TRUST BUT VERIFY

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