Wayne F. Ford

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CRD#: 2763527

Professional summary

Wayne Fitzgerald Ford was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Wayne Fitzgerald Ford was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 1997. Wayne had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

November 22, 2011 - October 3, 2016

SW FINANCIAL

CRD#: 145012

FARMINGDALE, NY

Past

January 31, 2011 - December 12, 2011

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

PORT JEFFERSON, NY

Past

September 16, 2009 - February 1, 2011

BROOKSTONE SECURITIES, INC.

CRD#: 13366

HAUPPAUGE, NY

Past

March 6, 2009 - October 14, 2009

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

HAUPPAUGE, NY

Past

September 21, 2007 - March 4, 2009

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

March 20, 2006 - September 20, 2007

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

UNIONDALE, NY

Past

January 12, 2005 - March 23, 2006

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

December 17, 2004 - February 1, 2005

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

September 3, 2004 - September 10, 2004

BENSON YORK GROUP, INC.

CRD#: 40231

MELVILLE, NY

Past

September 3, 2004 - January 6, 2005

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

Past

February 13, 2004 - July 23, 2004

GRANITE ASSOCIATES, INC

CRD#: 46682

DELRAY BEACH, FL

Past

April 21, 2003 - January 21, 2004

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 2, 2001 - May 20, 2003

HARRISON SECURITIES, INC.

CRD#: 14103

PORT WASHINGTON, NY

Past

August 19, 1998 - December 31, 2000

WHITEHALL WELLINGTON INVESTMENTS, INC.

CRD#: 38022

PORT WASHINGTON, NY

Past

July 13, 1998 - August 21, 1998

TASIN & COMPANY, INC.

CRD#: 30709

HAUPPAUGE, NY

Past

November 13, 1997 - July 1, 1998

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, 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

Series 63

Date: 1/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/1997

General Securities Representative Examination

Current Firm

SW FINANCIAL

SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: , 8-67688

Postponed Effective by SEC on 05/16/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 06/11/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ANGIA HOLDINGS, LLC	75.1% OWNER

Disclosures

Regulatory Event	7
Arbitration	7

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Wayne F. Ford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ROCKWELL GLOBAL CAPITAL LLC

BROOKSTONE SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

BROOKVILLE CAPITAL PARTNERS

EMPIRE FINANCIAL GROUP, INC.

WESTROCK ADVISORS, INC.

J.P. TURNER & COMPANY, L.L.C.

BENSON YORK GROUP, INC.

EKN FINANCIAL SERVICES INC.

GRANITE ASSOCIATES, INC

CONTINENTAL BROKER-DEALER CORP.

HARRISON SECURITIES, INC.

WHITEHALL WELLINGTON INVESTMENTS, INC.

TASIN & COMPANY, INC.

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/1998

SIE

Date: 10/3/2016

Series 7

Date: 11/11/1997

Current Firm

SW FINANCIAL

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SW FINANCIAL

TRUST BUT VERIFY

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