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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

ROGER LEE FORD

Advisor at AE WEALTH MANAGEMENT, LLC

Harrison, OH | West Chester, OH | Lawrenceburg, IN | Ft. Thomas, KY | Ft. Mitchell, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f97c10ca-6e9d-3cc3-1bd0-ca7493ccb144

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 7, 2003 to Sep 15, 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: AE WEALTH MANAGEMENT, 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: Aug 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S65|S63
First exam: Feb 13, 1987
First registration: May 7, 2003
Dual registered: yes, broker-dealer
Other names: RODGER LEE FORD|ROGER LEE FORD|RODGER FORD
IAPD individual key: 1537481

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
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	May 4, 2017	n/a	yes	West Chester, OH\|Harrison, OH\|Ft. Thomas, KY\|Lawrenceburg, IN\|Ft. Mitchell, KY	Current employment
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Mar 23, 2011	May 5, 2017	no	HARRISON, OH\|SARASOTA, FL	Previous registration
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Aug 25, 2003	Mar 23, 2011	no	HARRISON, OH\|HARRISON, OH	Previous registration
USA FINANCIAL SECURITIES LLC	Independent wealth	May 7, 2003	Aug 15, 2003	no	HARRISON, OH	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
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	AE WEALTH MANAGEMENT, LLC	May 5, 2017	May 4, 2017	-1	Firm change	Other
CONCOURSE FINANCIAL GROUP ADVISORS	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Mar 23, 2011	Mar 23, 2011	0	Firm change	Other
USA FINANCIAL SECURITIES LLC	CONCOURSE FINANCIAL GROUP ADVISORS	Aug 15, 2003	Aug 25, 2003	10	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
132070:282580:FL:2017-05-05	May 5, 2017	May 4, 2017	SARASOTA, FL	Firm change

Relationships

Registered with (4)

→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
May 4, 2017 to presentfactForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Mar 23, 2011 to May 5, 2017factForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Aug 25, 2003 to Mar 23, 2011factForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
May 7, 2003 to Aug 15, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f97c10ca-6e9d-3cc3-1bd0-ca7493ccb144
First observed: May 7, 2003
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROGER LEE FORD

Advisor at AE WEALTH MANAGEMENT, LLC

Harrison, OH | West Chester, OH | Lawrenceburg, IN | Ft. Thomas, KY | Ft. Mitchell, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f97c10ca-6e9d-3cc3-1bd0-ca7493ccb144

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

AE WEALTH MANAGEMENT, LLC

Bd affiliated wealth

May 4, 2017

n/a

yes

West Chester, OH|Harrison, OH|Ft. Thomas, KY|Lawrenceburg, IN|Ft. Mitchell, KY

Current employment

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Former SEC adviser

Mar 23, 2011

May 5, 2017

HARRISON, OH|SARASOTA, FL

Previous registration

CONCOURSE FINANCIAL GROUP ADVISORS

Former SEC adviser

Aug 25, 2003

Mar 23, 2011

HARRISON, OH|HARRISON, OH

Previous registration

USA FINANCIAL SECURITIES LLC

Independent wealth

May 7, 2003

Aug 15, 2003

HARRISON, OH

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

AE WEALTH MANAGEMENT, LLC

May 5, 2017

May 4, 2017

-1

Firm change

Other

CONCOURSE FINANCIAL GROUP ADVISORS

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Mar 23, 2011

Firm change

Other

USA FINANCIAL SECURITIES LLC

CONCOURSE FINANCIAL GROUP ADVISORS

Aug 15, 2003

Aug 25, 2003

Firm change

Other

Team

Left

Joined

From

Kind

132070:282580:FL:2017-05-05

May 5, 2017

May 4, 2017

SARASOTA, FL

Firm change