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Mr. William Ford

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Trading (Past)
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1-3 of 3 online sources for William Ford

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    Monroe County, Ohio Genealogical Records Information - [Cached Version]
    Published on: 2/19/2006    Last Visited: 11/28/2007  

    The first officers of Company D of the 2nd Virginia Volunteer Infantry Regiment were Warren Hollister, Captain; William R. Ford, First Lieutenant; and Jonathan N. Patton, Second Lieutenant.

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    Steinberg Asset Management, LLC - [Cached Version]
    Published on: 1/1/1982    Last Visited: 3/28/2006  

    Will R. Ford, CFA - Director, TradingMr. Ford has six years of investment experience.Before joining the firm, he worked as a trader on the Equity Capital Management desk at Lehman Brothers.From 1994-1999, Mr. Ford served as a Lieutenant in the US Coast Guard having graduated from the US Coast Guard Academy with a BS in Civil Engineering.He is a Chartered Financial Analyst and has an MBA from Boston University's Graduate School of Management.

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    ThorDirect - Online Brokerage House - [Cached Version]
    Published on: 3/18/2004    Last Visited: 3/18/2004  

    WILLIAM FORDCompliance Officer, Sales Manager

    Mr. Ford is an expert in the field of brokerage management and is in charge of compliance of Thor Capital LLC activities with NASD regulations.His diversified brokerage industry experience spans over 17 years.Mr. Ford has an impeccable regulatory record and has passed 11 US securities examinations.Within Thor Capital LLC he holds the position of Compliance Officer and Sales Manager.He also acts as the liaison with various US government regulatory bodies - including the Securities and Exchange Commission and the National Association of Securities Dealers.

    Prior to joining Thor Capital LLC in 1999 Mr. Ford worked as a Sales Manager for Berkshire Securities, Inc., a New York based brokerage firm, where he supervised trading activities of 20 brokers and coached them on sales practice, new financial products, as well as NASD rules and regulations.He was also in charge of the firm's Series 7 training program.In 1996-98 Mr. Ford occupied the positions of Director of Compliance, Sales Manager and Financial Operations Principal at Benson York Group.As such he participated in the start-up of this New York broker-dealer, coordinated its compliance policies and procedures, monitored trading desk activities, trained and supervised over 40 registered brokers, was in charge of their continuing education, oversaw the firm's advertising materials and prepared its financial statements filed with the NASD.

    In 1994-96 Mr. Ford served at Control Associates, a New Jersey brokerage consulting firm, advising various brokerage houses on the issues of compliance and sales management.Over the same period, he also held the position of a Sales Principal at Myers Pollock Robins, a New York brokerage house, where he supervised sales practices of over 80 brokers.In 1993-1994 Mr. Ford worked for Citicorp Investment Services of Long Island City as a Branch Investment Consultant.He serviced a client capital base of $300 million, providing investment advice on asset allocation, mutual funds and insurance products.Prior to that, he worked as a Retail Trader for Rimson & Co, New York, and as a Registered Representative for such prominent Wall Street firms as Lehman Brothers & Co., Inc., New York (1991), Jessup Josephthal, New York, (1989-91), J.F. Lowe & Co, New York (1988-89) and First Investors Inc., New Jersey (1986-88).In 1983-86 Mr. Ford was employed as an Assistant Treasurer by Hudson United Bank, NJ.

    Mr. Ford graduated from St. Peter's College, New Jersey in 1984, where he earned a BS degree in Marketing/Management, with a minor in Economics.He has passed an impressive number of US securities examinations: Series 3 (Commodity Futures), Series 4 (Options Principal), Series 6 (Mutual Funds), Series 7 (General Securities Representative), Series 24 (Sales Supervisor), Series 27 (Financial Operations Principal), Series 53 (Municipal Securities Principal), Series 55 (NASDAQ Trader), Series 63 (State Registration), and Series 65 (Investment Advisor).

    Mr. Ford's expertise in various domains of the securities industry, his extensive experience in the field of regulatory compliance and knowledge of NASD and SEC regulatory policies and practices make him a valuable asset for Thor Capital LLC.

    The main office of Thor Capital LLC is located at 551 Fifth Avenue, Suite 601, New York, NY, 10017.Tel. 1-212-973-0067, fax: 1-212-973-00-70, e-mail: info@thordirect.com.

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