Catherine Ann Ford

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2020-09-14
CA	RA	APPROVED	2020-09-01

VA RA
APPROVED

Since 2020-09-14
CA RA
APPROVED

Since 2020-09-01

Branch Locations

Arlington, VA • United States

16789 Bernardo Center Dr, San Diego, CA 92128 • United States

8403 Colesville Road, Ste 1100, Silver Spring, MD 20910 • United States

8280 Willow Oaks Ste 600, Fairfax, VA 22031 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lucia Capital Group	San Diego	CA	04/2010	Present
Lucia Securities, Llc	San Diego	CA	09/2011	Present
Lpl Financial, Llc	Arlington	VA	09/2020	Present

04/2010 → Present

Lucia Capital Group

San Diego, CA
09/2011 → Present

Lucia Securities, Llc

San Diego, CA
09/2020 → Present

Lpl Financial, Llc

Arlington, VA

Previous Registrations

2010-04-20 → 2020-09-14

Lucia Capital Group

San Diego, CA
2008-07-16 → 2010-11-11

Raymond J. Lucia Companies, Inc.

San Diego, CA
2003-02-13 → 2007-10-24

Mml Investors Services, Llc

Fairfax, VA

Bethesda, MD

Fairfax, VA
2002-10-21 → 2002-12-07

Ameriprise Financial Services, Llc

Owings Mills, MD

Other Businesses

1. 09/01/2020 - LUCIA CAPITAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ ARLINGTON, VA 2. 11/01/2017 - THE FITDISTRICT HOLDING COMPANY/ BUSINESS ENTITY FOR TAX, INVESTMENT PURPOSES ONLY/ INVESTMENT RELATED/ 20%/ ARLINGTON, VA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-10-18

S66 Uniform Combined State Law Examination

2002-10-18

Designations

Certified Financial Planner

View on SEC IAPD