C.william Ferris Jr.
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.
C.william Ferris Jr., who also goes by C. William Ferris, Claude William Ferris Jr, Claude William Ferris, was a registered financial professional .
C.william is a previously registered financial professional and started their career in finance in 1989. C.william had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2005 - August 15, 2017
FINANCIAL TRUST ASSET MANAGEMENT CHARTERED
February 4, 2004 - October 28, 2005
UBS FINANCIAL SERVICES INC.
December 17, 2003 - October 28, 2005
UBS FINANCIAL SERVICES INC.
October 18, 1989 - October 19, 2001
IVY DISTRIBUTORS, INC.
Primary Firm SEC Registration
FINANCIAL TRUST ASSET MANAGEMENT CHARTERED
CRD#: 108998 / SEC#: 801-132258
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
FINANCIAL TRUST ASSET MANAGEMENT CHARTERED
CRD#: 108998 / SEC#: 801-132258
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 416 |
| AUM (Assets Under Management) | $ 115,310,077 |
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.
