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AF

Aaron M. Ford

LUCID CAPITAL MARKETS
New York, NY 10005
Some features on this profile are disabled
CRD#: 6124392
AF

Professional summary

Aaron Michael Ford is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2012. Aaron has worked at 2 firms and has passed the SIE, Series 19 and Series 99 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) - BD

Click below to view Aaron Michael 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

January 4, 2016 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 11 Wall Street Pod-p, New York, NY 10005Office #2: New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
BD
CRD#: 140345
New York, NY
Past

October 18, 2012 - January 4, 2016

RAVEN SECURITIES CORP.

BD
CRD#: 35201
NEW YORK, 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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 19
Date: 3/23/2017
NYSE Floor Clerk - Equities Examination
General Industry/Product Exam
RR
Series 99
Date: 9/10/2015
Operations Professional Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10005

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