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Nicholas D. Ford

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CRD#: 6674011
NF

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.

Nicholas David Ford, who also goes by Nick Ford, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2016. Nicholas had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Ford

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

April 15, 2021 - September 22, 2021

LFT SECURITIES, LLC

BD
CRD#: 290210
CINCINNATI, OH
Past

September 17, 2018 - March 25, 2021

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

July 29, 2016 - August 20, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

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
Series 63
Date: 8/5/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/19/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/2016
General Securities Representative Examination

Current Firm

LS
LFT SECURITIES, LLC
ADVANCED TRADING & LINKED ASSET STRATEGIES, LLC | LFT SECURITIES, LLC

CRD#: 290210 / SEC#: , 8-70015

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

Main Address
425 Walnut Street, Suite 2410, Cincinnati, OH 45202-3931
Mailing Address
425 Walnut Street, Suite 2410, Cincinnati, OH 45202-3931
Phone number
(513) 271-0759
Established
Delaware since 06/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LUMA FINANCIAL TECHNOLOGIES, LLCOWNER, SOLE MEMBER
BONACCI, TIMOTHY JOHNPRESIDENT & CEO4194271
JENKINS, ROBERT PATRICKCHIEF FINANCIAL OFFICER6030790
POGAN, DONALDCOO & POO5611677
RUSSELL, SARAH DETLINGPRINCIPAL FINANCIAL OFFICER & FINOP6727189
STACHE, PAUL GERARDCHIEF COMPLIANCE OFFICER1170097

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

LFT SECURITIES, LLC

CRD#: 290210

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