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WF

William D. Ferguson

CAPITAL INVESTMENT GROUP
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 206652
WF

Professional summary

William Dennis Ferguson, who also goes by Dennis Ferguson, is a registered financial professional currently at CAPITAL INVESTMENT GROUP, INC. located in Raleigh, North Carolina.

William is registered as a RR (Registered Representative) and started their career in finance in 1970. William has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24, Series 27, Series 4, Series 40 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis Ferguson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Dennis Ferguson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 10, 2014 - Present

CAPITAL INVESTMENT GROUP, INC.

Office #1: 100 E. Six Forks Road Ste 200, Raleigh, NC 27609
BD
CRD#: 14752
Raleigh, NC
Past

April 22, 2009 - October 6, 2014

STONEX SECURITIES INC.

BD
CRD#: 18456
BOCA RATON, FL
Past

January 31, 2003 - October 6, 2014

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

June 18, 2001 - October 6, 2014

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BOCA RATON, FL
Past

November 11, 1999 - July 11, 2001

FISERV CORRESPONDENT SERVICES, INC.

BD
CRD#: 29273
DENVER, CO
Past

April 11, 1995 - November 22, 1999

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

October 22, 1993 - January 2, 2001

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

December 14, 1984 - November 22, 1999

DMG SECURITIES, INC.

BD
CRD#: 15480
GREAT FALLS, VA
Past

March 1, 1983 - November 12, 1999

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

March 28, 1982 - March 4, 1983

CRALIN & CO., INC.

BD
CRD#: 7605
Past

September 10, 1980 - April 1, 1982

ALLEN & COMPANY OF FLORIDA, LLC

BD
CRD#: 25
Past

February 24, 1978 - September 22, 1980

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

August 4, 1970 - February 24, 1978

REYNOLDS SECURITIES, INC.

BD
CRD#: 712

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(1/10/2014)
RR
North Carolina
(11/17/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 7/31/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/19/1983
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/17/1980
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 4/18/1973
Registered Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 3/20/1973
NYSE Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CAPITAL INVESTMENT GROUP, INC.
CAPITAL INVESTMENT COMPANIES | CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752 / SEC#: , 8-31225

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
100 E. Six Forks Road Ste 200, Raleigh, NC 27609
Mailing Address
P.o. Box 32249, Raleigh, NC 27622
Phone number
(919) 831-2370
Established
North Carolina since 01/06/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
R.B.S.B. FAMILY TRUSTOWNER
NICHOLSON, WILLIAM BATEMAN SRSHAREHOLDER2585041
BATTLE, RICHARD STAATSSHAREHOLDER2349045
BROOKS, BENJAMIN TIMOTHY IIIPRESIDENT2206321
BRYANT, RICHARD KINGCEO/TREASURER/FINOP/CO-TRUSTEE1069685
DRESSLER, KURT ALANSHAREHOLDER2381036
EDDINS, WILLIAM HAROLD JRASSISTANT VICE PRESIDENT1724993
HARDEN, RONALD TODDSHAREHOLDER1528810
KING, RONALD LEECHIEF COMPLIANCE OFFICER2530489
MCDONALD, CORNELIUS TRAWICK IIIASSISTANT VICE PRESIDENT1288377
SADLER, SUZANNE BRYANTCO-TRUSTEE6313854

Disclosures

Regulatory Event7
Arbitration3

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

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752Raleigh, NC 27609

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