Timothy J. Fergus
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.
Timothy James Fergus was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1989. Timothy had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 1998 - December 31, 2003
LASALLE ST SECURITIES, L.L.C.
May 13, 1997 - September 9, 1998
SII INVESTMENTS, INC.
October 24, 1996 - April 28, 1997
USLIFE EQUITY SALES CORP.
October 9, 1989 - October 2, 1996
METROPOLITAN LIFE INSURANCE COMPANY
October 9, 1989 - October 2, 1996
MSI FINANCIAL SERVICES, INC.
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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| 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.
