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JF

John William Ford

CRD# 710595·Registered 1980 - 1995
Barred: John William Ford was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

John William Ford was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1980 - 1995. John had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

46 years in the financial services industry

Current & Past Employments

PENN CAPITAL FINANCIAL SERVICES, INC.·CRD# 10640
BD
Pittsburgh, PA
September 13, 1991 - October 27, 1995
FINANCIAL ESTATE PLANNING, INC.·CRD# 287
BD
January 15, 1987 - March 5, 1991
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
May 8, 1984 - April 9, 1986
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
January 29, 1982 - May 14, 1984
NATIONWIDE INVESTMENT SERVICES CORPORATION·CRD# 7110
BD
September 15, 1981 - June 2, 1982
FINANCIAL ESTATE PLANNING, INC.·CRD# 287
BD
July 1, 1980 - March 2, 1982

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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

Contact Information

Established

Pennsylvania since 03/12/1982

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1980About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1980About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 1987About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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