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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

HARVEY LEE FORD

Advisor at LPL FINANCIAL LLC

AUSTIN, TX

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Search this name across graphsid dfx:ria:bed204cd-7c5f-400d-52ea-2bd9201b930b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 24, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 24, 1984
First registration: Oct 23, 2007
Dual registered: yes, broker-dealer
Other names: HARVEY LEE FORD
IAPD individual key: 211052

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 10, 2025	n/a	yes	AUSTIN, TX	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Jul 30, 2015	Jul 10, 2025	no	COLLEGE STATION, TX\|AUSTIN, TX	Previous registration
JHS CAPITAL ADVISORS, LLC	Former SEC adviser	Apr 12, 2010	Jul 29, 2015	no	TAMPA, FL\|AUSTIN, TX\|PORTLAND, OR	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Oct 23, 2007	Mar 30, 2010	no	AUSTIN, TX\|TAMPA, FL\|AUSTIN, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
JHS CAPITAL ADVISORS, LLC	NEXT FINANCIAL GROUP, INC.	Jul 29, 2015	Jul 30, 2015	1	Firm change	Other
GUNNALLEN FINANCIAL, INC	JHS CAPITAL ADVISORS, LLC	Mar 30, 2010	Apr 12, 2010	13	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jul 30, 2015 to Jul 10, 2025factForm ADV
→ JHS CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 12, 2010 to Jul 29, 2015factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Oct 23, 2007 to Mar 30, 2010factForm ADV

Dated events

No dated event names this entity yet.