WF
William A. Ferguson
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
Frisco, TX 75034
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CRD#: 1851122
WF
Professional summary
William Albert Ferguson II, who also goes by William Albert Ferguson II, William A Ferguson Ii, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Frisco, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 23 firms and has passed the Series 66, Series 65, Series 63, Series 72, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Albert Ferguson Ii | William A Ferguson Ii
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.
FERGUSON CAPITAL GROUP POSITION: CEO President NATURE: The nature of the other business: Holding group for future family businesses such as rental property ownership. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/30/2016 ADDRESS: Home Address, Van Alstyne TX 75495, United States DESCRIPTION: I help with administration, My Wife and son are the only other partners. I support my wife and son to identifying projects we may want to buy. As of 2019 we are not working on anything with the business so it's just a name.
CRS (Client Relationship Summary) - RIA
Click below to view William Albert Ferguson II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Albert Ferguson II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 28, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Hub, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Current
May 24, 2024 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Hub, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
January 27, 2022 - May 1, 2023
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Irving, TX
Past
November 29, 2021 - May 1, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Irving, TX
Past
January 25, 2021 - October 20, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Plano, TX
Past
November 30, 2020 - October 20, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Plano, TX
Past
March 9, 2018 - October 22, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
Past
March 9, 2018 - October 22, 2020
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
Southlake, TX
Past
February 28, 2017 - February 12, 2018
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
January 9, 2015 - February 12, 2018
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Irving, TX
Past
August 11, 2011 - October 23, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
WESTLAKE, TX
Past
December 2, 2010 - July 18, 2011
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
CHICAGO, IL
Past
November 29, 2010 - July 18, 2011
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
CHICAGO, IL
Past
June 5, 2008 - November 26, 2010
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ORLAND PARK, IL
Past
June 4, 2008 - November 26, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ORLAND PARK, IL
Past
February 1, 2007 - April 29, 2008
HARRISDIRECT LLC
RIA
CRD#: 42159
ARLINGTON, VA
Past
October 23, 2006 - April 29, 2008
E*TRADE SECURITIES LLC
BD
CRD#: 29106
WASHINGTON, DC
Past
July 18, 2001 - October 13, 2006
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WEXFORD, PA
Past
March 13, 2001 - October 13, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WEXFORD, PA
Past
October 1, 2000 - February 27, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 5, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
April 9, 1999 - March 21, 2000
HOWARD WEIL INCORPORATED
BD
CRD#: 30958
NEW ORLEANS, LA
Past
January 27, 1998 - April 12, 1999
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
Past
September 23, 1996 - September 25, 1997
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
December 23, 1994 - October 4, 1996
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
January 15, 1993 - December 23, 1994
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
February 12, 1991 - January 20, 1993
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
Past
October 2, 1989 - January 20, 1993
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
September 26, 1988 - November 3, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/28/2024)
RR
Alaska(5/28/2024)
RR
Arizona(6/7/2024)
RR
Arkansas(5/28/2024)
RR
California(5/28/2024)
RR
Colorado(5/28/2024)
RR
Connecticut(5/29/2024)
RR
Delaware(6/3/2024)
RR
District of Columbia(8/2/2024)
RR
Florida(5/28/2024)
RR
Georgia(5/28/2024)
RR
Hawaii(5/28/2024)
RR
Idaho(5/28/2024)
RR
Illinois(6/12/2024)
RR
Indiana(5/27/2024)
RR
Iowa(5/28/2024)
RR
Kansas(5/28/2024)
RR
Kentucky(5/29/2024)
RR
Louisiana(5/30/2024)
RR
Maine(5/28/2024)
RR
Maryland(6/4/2024)
RR
Massachusetts(5/28/2024)
RR
Michigan(5/30/2024)
RR
Minnesota(5/30/2024)
RR
Mississippi(5/28/2024)
RR
Missouri(5/28/2024)
RR
Montana(5/28/2024)
RR
Nebraska(5/28/2024)
RR
Nevada(5/28/2024)
RR
New Hampshire(5/29/2024)
RR
New Jersey(5/28/2024)
RR
New Mexico(5/29/2024)
RR
New York(5/28/2024)
RR
North Carolina(5/28/2024)
RR
North Dakota(5/29/2024)
RR
Ohio(5/25/2024)
RR
Oklahoma(5/29/2024)
RR
Oregon(5/28/2024)
RR
Pennsylvania(5/28/2024)
RR
Puerto Rico(8/19/2025)
RR
Rhode Island(5/30/2024)
RR
South Carolina(6/4/2024)
RR
South Dakota(5/28/2024)
RR
Tennessee(5/29/2024)
RR
Texas(5/28/2024)
IAR
Texas(5/28/2024)
RR
Utah(5/28/2024)
RR
Vermont(5/28/2024)
RR
Virgin Islands(8/29/2025)
RR
Virginia(5/28/2024)
RR
Washington(5/29/2024)
RR
West Virginia(5/30/2024)
RR
Wisconsin(5/28/2024)
RR
Wyoming(6/5/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
730 Third Avenue, New York, NY 10017-3206
Mailing Address
8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500
Phone number
(704) 988-3565
Established
Delaware since 01/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,319
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
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
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472Frisco, TX 75034TRUST BUT VERIFY
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