Robert Gregory Ford

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-09-10
NC	RA	APPROVED	2012-08-20

TX RA
APPROVED

Since 2020-09-10
NC RA
APPROVED

Since 2012-08-20

Branch Locations

6000 Fairview Rd Ste 800, Charlotte, NC 28210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Charlotte	NC	08/2012	11/2016
Wells Fargo Clearing Services, Llc	Charlotte	NC	11/2016	Present

08/2012 → 11/2016

Wells Fargo Advisors, Llc

Charlotte, NC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Charlotte, NC

Previous Registrations

2009-10-23 → 2012-08-23

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Charlotte, NC
2005-03-09 → 2009-10-23

Banc Of America Investment Services, Inc.

Charlotte, NC

Charlotte, NC
2005-02-02 → 2005-03-09

Bofa Advisors, Llc

Charlotte, NC
2004-04-07 → 2005-02-10

Bacap Distributors, Llc

Charlotte, NC
2003-01-01 → 2004-04-02

Bacap Distributors, Llc

Charlotte, NC
2001-10-03 → 2003-01-01

Stephens

Charlotte, NC

Other Businesses

FORDUNM INVESTMENTS LLC; INVESTMENT RELATED; NY, NY; REAL ESTATE HOLDING CO THAT BUYS REAL ESTATE FOR PURPOSE OF RENTAL ASSETS; S/D:08/02; MTH HRS: 2; HRS DURING SECURITIES TRADING HRS:0; PRESIDENT, CO-OWNER, MANAGEMENT OF PROPERTY. SPRING BANK LAND HOLDINGS, LLC; NON INVESTMENT RELATED; EBONY, WA; LAND PURCHASE & TIMBER MANAGEMENT; PARTNER; S/D:07/06; MTH HRS: 5; HRS DURING SECURITIES TRADING HRS:0; SHELL COMPANY (LLC) FOR TIMBER LAND PURCHASES THAT WILL BE MADE, PARTNERED WITH 2 OTHER FAMILY MEMBERS, WILL ASSUME THE ROLE OF CO-O. RENTAL PROPERTY, INV RELATED, CHARLOTTE, NC, 50% OWNERSHIP, START 1/21/2019, 5 HOURS PER MONTH, ZERO DURING TRADING, PROPERTY MANAGEMENT. RENTAL PROPERTY, INV RELATED, CHARLOTTE, NC, 50% OWNERSHIP, START 9/28/2002, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, HELD UNDER FORDUNN INVESTMENTS LLC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-23
S63	Uniform Securities Agent State Law Examination	1998-12-08

S65 Uniform Investment Adviser Law Examination

2001-08-23
S63 Uniform Securities Agent State Law Examination

1998-12-08

Designations

Certified Financial Planner

Other Names

Rob Ford

View on SEC IAPD