James E. Ferguson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Earl Ferguson, who also goes by James E Ferguson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 3 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 1990 - February 25, 2010
FERGUSON, SETTLE & ASSOCIATES, INC.
June 3, 1987 - July 25, 1989
SECURITY DISTRIBUTORS
June 20, 1984 - November 28, 1989
INVESTORS BROKERAGE SERVICES, 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
FERGUSON, SETTLE & ASSOCIATES, INC.
CRD#: 26478 / SEC#: , 8-42639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FERGUSON, JAMES EARL | REGISTERED PRINCIPAL/OWNER/CHIEF COMPLIANCE OFFICER | 1270372 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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.
