Phillip L. Ferguson
Professional summary
Phillip Lloyd Ferguson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Phillip is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Phillip had worked at 6 firms, which includes CONTINENTAL CAPITAL INVESTMENT SERVICES INC., SUNPOINT SECURITIES INC., REPUBLIC SECURITIES INC., GLOBAL INVESTOR SECURITIES INC., LPL FINANCIAL LLC, K. J. BROWN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1998 - December 31, 1999
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
October 22, 1993 - May 15, 1998
SUNPOINT SECURITIES, INC.
April 10, 1990 - November 17, 1993
REPUBLIC SECURITIES, INC.
August 17, 1987 - November 20, 1989
GLOBAL INVESTOR SECURITIES, INC.
February 3, 1987 - August 19, 1987
LPL FINANCIAL LLC
April 29, 1982 - February 9, 1987
K. J. BROWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CRD#: 2864 / SEC#: , 8-7865
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL CAPITAL CORP. | OWNER | |
| AYLING, JOHN RUSSELL | OFFICER | 9294 |
| BAKER, TAMARA ELAINE | OFFICER/MUNICIPAL PRINCIPAL | 3017864 |
| CAMERON, JOHN WILLIAM | OFFICER /SR. VICE PRESIDENT | 1253957 |
| GRUVER, DONALD LESLIE | COMPLIANCE OFFICER / OPTIONS PRINCIPAL | 2266415 |
| KOWALSKI, DENNIS J | CONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL | 2526293 |
| LOSBY, THOMAS DAVID | CHIEF OPERATIONS OFFICER /PRESIDENT | 1301638 |
| NOETHEN, BRITTANY MICHELLE | VICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS | 2610543 |
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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