Eugene P. 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.
Eugene Paul Ferguson, who also goes by Eugene Ferguson, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1992. Eugene had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 3 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
July 27, 2015 - June 15, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 26, 2013 - August 5, 2013
INDIAN HARBOR, LLC
March 7, 2012 - February 12, 2013
FOCUSPOINT PRIVATE CAPITAL GROUP
February 12, 2004 - October 4, 2010
COMMONFUND SECURITIES, INC.
August 9, 2000 - September 2, 2003
PINEBRIDGE SECURITIES LLC
April 22, 1999 - June 30, 2000
BOWLING GREEN CAPITAL, LLC
January 12, 1995 - June 18, 1998
SALOMON BROTHERS INC.
August 19, 1992 - November 10, 1993
SALOMON BROTHERS INC.
March 2, 1992 - August 19, 1992
SEI INVESTMENTS DISTRIBUTION CO.
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
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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.
