Michael S. 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.
Michael Shannon Ferguson, who also goes by Mike Ferguson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2013 - April 28, 2014
GENESIS ASSET MANAGEMENT, LLC
July 11, 2012 - May 6, 2013
NATIONS FINANCIAL GROUP, INC.
July 10, 2012 - May 6, 2013
NATIONS FINANCIAL GROUP, INC.
February 23, 2011 - March 23, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
February 23, 2011 - March 23, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
August 12, 2008 - February 23, 2011
EDWARD JONES
July 14, 2008 - February 23, 2011
EDWARD JONES
August 21, 1992 - November 27, 1992
PRUCO SECURITIES, LLC.
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
GENESIS ASSET MANAGEMENT, LLC
CRD#: 144971 / SEC#: 801-68717
Contact information
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.
