Steven L. 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.
Steven L Ferguson, who also goes by Steve L Ferguson, Steve Lee Ferguson, Steven L Ferguson, Steven Lee Ferguson, Steve Ferguson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2024 - March 4, 2025
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
June 18, 2024 - March 4, 2025
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 1, 2022 - June 6, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 1, 2022 - June 6, 2024
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2022 - June 23, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 16, 2021 - March 10, 2022
NYLIFE SECURITIES LLC
May 24, 2017 - November 12, 2020
ARVEST WEALTH MANAGEMENT
May 17, 2017 - November 12, 2020
ARVEST WEALTH MANAGEMENT
April 16, 2012 - June 8, 2017
BOK FINANCIAL SECURITIES, INC.
April 16, 2012 - June 8, 2017
BOK FINANCIAL SECURITIES, INC.
July 13, 2011 - April 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2011 - April 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 2011 - June 3, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
January 27, 2011 - June 3, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2008 - February 5, 2009
TD AMERITRADE, INC.
June 5, 2008 - February 5, 2009
TD AMERITRADE, INC.
October 7, 2003 - August 16, 2007
CHARLES SCHWAB & CO., INC.
February 27, 1992 - August 16, 2007
CHARLES SCHWAB & CO., INC.
November 25, 1991 - February 4, 1992
IDS LIFE INSURANCE COMPANY
November 25, 1991 - February 4, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
CRD#: 290043 / SEC#: 801-111963
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 8
Date: 4/14/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
CRD#: 290043 / SEC#: 801-111963
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 1,987,005,678 |
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.
