Ruby N. Ferguson-hendricks
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.
Ruby Nell Ferguson-hendricks, who also goes by Ruby Nell Ferguson, Ruby N. Ferguson-hendricks, Ruby N Hendricks, Ruby Nell Hendricks, was a registered financial professional .
Ruby is a previously registered financial professional and started their career in finance in 1992. Ruby had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2020 - April 13, 2021
GWN SECURITIES INC.
February 20, 2020 - April 13, 2021
GWN SECURITIES INC.
November 1, 2010 - November 27, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 1, 2010 - November 27, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 2008 - October 8, 2010
NATIONWIDE SECURITIES, LLC
August 1, 2008 - October 8, 2010
NATIONWIDE SECURITIES, LLC
July 26, 2005 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
June 29, 2005 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 16, 2003 - May 17, 2005
SIGNATOR INVESTORS, INC.
May 2, 2002 - May 17, 2005
SIGNATOR INVESTORS, INC.
April 27, 1992 - April 12, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 27, 1992 - April 12, 1993
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
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
GWN SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| RITTMAN, BARRY RICHARD | CFO FINOP VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
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.
