Laird M. 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.
Laird Marc Ferguson, who also goes by Laird Ferguson, was a registered financial professional .
Laird is a previously registered financial professional and started their career in finance in 1995. Laird had worked at 5 firms and has passed the Series 63 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 14, 2003 - October 5, 2004
GUNNALLEN FINANCIAL, INC
January 4, 1999 - July 23, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 24, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
February 9, 1996 - September 26, 1997
ROAN CAPITAL PARTNERS L.P.
February 9, 1995 - February 20, 1996
JOSEPHTHAL & CO., 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
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
