Brian T. 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.
Brian Thomas Ferguson was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 11 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2016 - August 8, 2017
PAULSON INVESTMENT COMPANY LLC
December 11, 2015 - July 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2012 - August 27, 2013
LADENBURG THALMANN & CO. INC.
April 27, 2010 - April 30, 2012
ELEVATION, LLC
April 8, 2008 - April 15, 2010
WJB CAPITAL GROUP, INC.
May 4, 2007 - January 11, 2008
G-2 TRADING,LLC
August 24, 2004 - May 24, 2007
GFI SECURITIES LLC
April 4, 1996 - August 16, 2004
WEEDEN & CO.L.P.
January 28, 1995 - February 26, 1996
UBS FINANCIAL SERVICES INC.
April 4, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 18, 1992 - March 30, 1994
LEHMAN BROTHERS 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
Series 55
Date: 9/16/2008
Limited Representative-Equity Trader ExamCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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