Phillip Sherdan Ferguson
Professional Summary
Phillip Sherdan Ferguson, who also goes by Phil Ferguson, is a registered financial advisor currently at VALLEY FINANCIAL MANAGEMENT, INC. located in New York, New York. Phillip is registered as a RR (Registered Representative) and started their career in finance in 1983. Phillip has worked at 7 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Phil Ferguson
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
LEUMI INVESTMENT SERVICES | VFM | VALLEY FINANCIAL MANAGEMENT, INC. | VALLEY F.M. | LISI | LEUMI INVESTMENT SERVICES INC. | LEUMI INVESTMENT SERVICES INC
Contact Information
Main Address
350 Madison Ave. Compliance 4th Floor, New York, NY 10017Mailing Address
350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017Phone Number
(212) 407-4362Established
New York since 08/08/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
124SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
FINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALLEY NATIONAL BANK | DIRECT PARENT OF APPLICANT | — |
| CHITTENDEN, KEVIN L. | DIRECTOR | 8047906 |
| COLLERAN, JOSEPH ARTHUR III | PRESIDENT / CEO | 1010582 |
| GAWLEY, CHRISTOPHER JON | GENERAL COUNSEL | 4997190 |
| LAN, TRAVIS | DIRECTOR | 5190958 |
| MAYO, JAMIE | CHIEF FINANCIAL OFFICER | 3113603 |
| SCHULTZ, MELISSA JOSEPH | CHAIRPERSON | 1155034 |
| WILSON, CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER | 5163915 |
Regulatory Assets Under Management
Total Number of Accounts
129AUM (Assets Under Management)
$473,254Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
LEUMI INVESTMENT SERVICES | VFM | VALLEY FINANCIAL MANAGEMENT, INC. | VALLEY F.M. | LISI | LEUMI INVESTMENT SERVICES INC. | LEUMI INVESTMENT SERVICES INC
State Registrations and Notice Filings
(10/11/2023)
(10/9/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Phillip Sherdan Ferguson's CRS (Customer Relationship Summary).
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