Frederick C. 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.
Frederick Clifford Ford III, who also goes by Frederick Clifford Ford, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1977. Frederick had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2007 - June 30, 2015
COMPASS SECURITIES CORPORATION
June 12, 1989 - December 31, 2006
MOORS & CABOT, INC.
June 28, 1984 - May 18, 1989
ALTERNATIVE INVESTMENT CORPORATION
February 6, 1984 - June 14, 1984
WINTHROP SECURITIES CO., INC.
April 5, 1979 - January 27, 1984
CITIGROUP GLOBAL MARKETS INC.
February 1, 1977 - April 5, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationCurrent Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
