Thomas A. 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.
Thomas Allen Ferguson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 8 firms and has passed the SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1990 - September 28, 2018
FERGUSON & BREWER SECURITIES
April 13, 1983 - April 30, 1990
CAPITAL PLANNING GROUP, INC.
August 16, 1978 - April 19, 1983
APEX FINANCIAL PLANNERS CORP.
March 8, 1976 - August 10, 1978
INVESTOGENIC SERVICES, INC.
November 20, 1975 - April 10, 1976
SECURITIES WEST, INC.
June 1, 1973 - December 17, 1975
FIVE/THREE SECURITIES CORPORATION
March 30, 1972 - October 3, 1976
SYSTECH REAL ESTATE SEC CORP
December 15, 1970 - April 6, 1971
STEPHENSON, LEYDECKER & 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
Series 1
Date: 12/7/1970
Registered Representative ExaminationSeries 00
Date: 2/17/1972
General Securities Principal ExaminationCurrent Firm
FERGUSON & BREWER SECURITIES
CRD#: 25563 / SEC#: , 8-41817
Contact information
Documents
Red Flags
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