Richard W. Ford
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.
Richard Watts Ford, who also goes by Richard W Ford, Rick Ford, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2007 - June 27, 2023
INSTINET, LLC
August 4, 2003 - October 3, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
June 27, 2001 - August 5, 2003
UBS CAPITAL MARKETS L.P.
November 7, 2000 - June 18, 2001
EPOCH SECURITIES, INC.
November 14, 1996 - November 8, 2000
BLACKROCK EXECUTION SERVICES
August 20, 1992 - July 16, 1996
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/19/2001
Limited Representative-Equity Trader ExamCurrent Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
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.
