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PF

Paul E. Ford

CRD#: 4646246
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PF
Paul Edward 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.

Paul Edward Ford was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2003. Paul had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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

June 13, 2017 - September 15, 2017

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Irvine, CA
Past

June 8, 2017 - October 4, 2017

MIRAMONTES CAPITAL, LLC

RIA
CRD#: 264786
Irvine, CA
Past

August 31, 2016 - May 5, 2017

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
ORANGE, CA
Past

June 15, 2016 - May 5, 2017

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ORANGE, CA
Past

May 19, 2006 - January 20, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Overland Park, KS
Past

January 23, 2006 - January 20, 2016

TD AMERITRADE, INC.

RIA
CRD#: 7870
OVERLAND PARK, KS
Past

September 8, 2005 - January 19, 2006

TD AMERITRADE, INC.

RIA
CRD#: 7870
OVERLAND PARK, KS
Past

September 8, 2005 - January 20, 2016

TD AMERITRADE, INC.

BD
CRD#: 7870
OVERLAND PARK, KS
Past

October 15, 2003 - August 10, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WEST DES MOINES, IA
Past

September 24, 2003 - August 10, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 24, 2003 - August 10, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
RR
IAR
Series 66
Date: 10/6/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2003
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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