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JF

John W. Ford

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CRD#: 710595
JF

Professional summary

John William Ford was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, John had worked at 5 firms, which includes PENN CAPITAL FINANCIAL SERVICES INC., FINANCIAL ESTATE PLANNING INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., NATIONWIDE INVESTMENT SERVICES CORPORATION.

top-8-questions

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

September 13, 1991 - October 27, 1995

PENN CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 10640
PITTSBURGH, PA
Past

January 15, 1987 - March 5, 1991

FINANCIAL ESTATE PLANNING, INC.

BD
CRD#: 287
Past

May 8, 1984 - April 9, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 29, 1982 - May 14, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 15, 1981 - June 2, 1982

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
Past

July 1, 1980 - March 2, 1982

FINANCIAL ESTATE PLANNING, INC.

BD
CRD#: 287

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: 7/9/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/11/1987
General Securities Principal Examination

Current Firm

PC
PENN CAPITAL FINANCIAL SERVICES, INC.
BROKERS CAPITAL DISTRIBUTION COMPANY, INC. | PENN CAPITAL FINANCIAL SERVICES, INC.

CRD#: 10640 / SEC#: , 8-28011

BD
Revoked by SEC on 09/30/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 03/12/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

PENN CAPITAL FINANCIAL SERVICES, INC.

CRD#: 10640

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