Rhonda S. 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.
Rhonda Scott Ferguson, CFP®, who also goes by Rhonda Machelle Ferguson, Rhonda Scott, was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 1984. Rhonda had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
Start date: 1994
Experience
April 16, 2015 - November 13, 2017
NATIONAL PLANNING CORPORATION
April 16, 2015 - November 9, 2017
NATIONAL PLANNING CORPORATION
May 27, 2011 - December 10, 2025
FINANCIAL CONCEPTS
April 30, 2004 - June 10, 2011
GIRARD SECURITIES, INC.
April 29, 2004 - April 20, 2015
GIRARD SECURITIES, INC.
July 21, 2003 - April 30, 2004
MAIN STREET MANAGEMENT COMPANY
February 23, 1989 - April 30, 2004
MAIN STREET MANAGEMENT COMPANY
July 28, 1988 - March 28, 1989
MML INVESTORS SERVICES, LLC
April 25, 1988 - July 11, 1988
KEOGLER, MORGAN & COMPANY, INC.
March 17, 1988 - May 5, 1988
FSC SECURITIES CORPORATION
August 25, 1986 - July 25, 1987
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 21, 1984 - September 2, 1986
FSC SECURITIES CORPORATION
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 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.
