Steven P. Ford

ALPHA CUBED INVESTMENTS

COSTA MESA, CA 92626

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CRD#: 4055586

Professional summary

Steven Patrick Ford is a registered financial advisor currently at ALPHA CUBED INVESTMENTS, LLC located in Costa Mesa, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Steven Patrick Ford's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 9, 2015 - Present

ALPHA CUBED INVESTMENTS, LLC

Office #1: 1124 Bristol St., Costa Mesa, CA 92626

RIA

CRD#: 159347

COSTA MESA, CA

Past

August 21, 2015 - October 1, 2015

PROTECTED INVESTORS OF AMERICA

RIA

CRD#: 6082

SAN MATEO, CA

Past

August 21, 2015 - October 1, 2015

PROTECTED INVESTORS OF AMERICA

CRD#: 6082

SAN FRANCISCO, CA

Past

September 17, 2010 - December 3, 2014

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN MATEO, CA

Past

September 17, 2010 - December 3, 2014

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SAN MATEO, CA

Past

September 17, 2010 - December 3, 2014

TD AMERITRADE, INC.

CRD#: 7870

SAN MATEO, CA

Past

August 12, 2009 - December 31, 2009

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

DANVILLE, CA

Past

August 11, 2009 - December 31, 2009

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

DANVILLE, CA

Past

June 30, 2009 - August 14, 2009

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DANVILLE, CA

Past

June 10, 2009 - August 14, 2009

OSAIC WEALTH, INC.

CRD#: 23131

DANVILLE, CA

Past

January 8, 2004 - December 16, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BERKELEY, CA

Past

August 7, 2002 - December 16, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BERKELEY, CA

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".

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(11/9/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2002

General Securities Representative Examination

Current Firm

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

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Contact information

Main Address

1124 Bristol St., Costa Mesa, CA 92626

Mailing Address

Phone number

(800) 701-2457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,786
AUM (Assets Under Management)	$ 3,026,637,539

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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Steven P. Ford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Patrick Ford's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROTECTED INVESTORS OF AMERICA

PROTECTED INVESTORS OF AMERICA

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ALPHA CUBED INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2003

Series 63

Date: 8/20/2002

SIE

Date: 10/1/2015

Series 7

Date: 8/6/2002

Current Firm

ALPHA CUBED INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CUBED INVESTMENTS, LLC

TRUST BUT VERIFY

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