Linda K. 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.
Linda Kay Ferguson, who also goes by Linda Kay Collier, Linda Kaye Ferguson, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1990. Linda had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2011 - December 17, 2015
ALAMO CAPITAL
November 11, 2009 - December 15, 2010
FIRST ALLIED SECURITIES, INC.
January 1, 2007 - November 6, 2009
AVISEN WEALTH MANAGEMENT, INC.
June 19, 2000 - June 13, 2003
PACIFIC WEST SECURITIES, INC.
May 8, 1991 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
January 23, 1990 - November 24, 1990
NATIONAL 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
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
