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KF

Kevin P. Ferguson

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CRD#: 1282757
KF

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.

Kevin Parick Ferguson, who also goes by Kevin Patrick Ferguson, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2001. Kevin had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Patrick Ferguson

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 20, 2016 - December 15, 2020

ALVAREZ & MARSAL SECURITIES, LLC

BD
CRD#: 127858
New York, NY
Past

January 1, 2010 - May 8, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 4, 2001 - January 1, 2010

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/28/2023
General Securities Principal Examination

Current Firm

A&
ALVAREZ & MARSAL SECURITIES, LLC
ALVAREZ & MARSAL SECURITIES, LLC

CRD#: 127858 / SEC#: , 8-66055

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Madison Ave 8th Floor, New York, NY, 10022
Mailing Address
600 Madison Ave 8th Floor, New York, NY, 10022
Phone number
(212) 759-4433
Established
Delaware since 09/24/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALVAREZ & MARSAL NORTH AMERICA, LLCOWNER
VARUGHESE, GEORGEPRESIDENT/ CHIEF EXECUTIVE OFFICER1070353
WINTERS, KEITH ANTHONYCHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER/FINOP3126316

Disclosures

Regulatory Event1

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.

Company Information

ALVAREZ & MARSAL SECURITIES, LLC

CRD#: 127858

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