Lynne R. 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.
Lynne Rogich Ford, who also goes by Lynne Ford, Lynne Margot Rogich, was a registered financial professional .
Lynne is a previously registered financial professional and started their career in finance in 1994. Lynne had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 4, 2019 - March 22, 2023
MISSIONSQUARE RETIREMENT
November 4, 2019 - March 22, 2023
MISSIONSQUARE INVESTMENT SERVICES
September 27, 2017 - November 13, 2019
TRUIST ADVISORY SERVICES, INC.
July 12, 2017 - November 13, 2019
TRUIST INVESTMENT SERVICES, INC.
January 3, 2017 - June 16, 2017
MEEDER DISTRIBUTION SERVICES, INC.
July 31, 2012 - September 9, 2016
CALVERT INVESTMENT DISTRIBUTORS, INC.
February 3, 2012 - July 9, 2012
LPL FINANCIAL LLC
February 2, 2011 - December 2, 2011
VOYA FINANCIAL ADVISORS, INC.
January 19, 2010 - February 10, 2011
VOYA FINANCIAL PARTNERS, LLC
January 19, 2010 - February 24, 2011
DIRECTED SERVICES LLC
June 17, 2004 - December 31, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 4, 1998 - January 8, 2004
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 17, 1994 - December 9, 1997
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
