Michael G. 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 George Ferguson, who also goes by Michael George Ferguson, Michael Ferguson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 13 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 4, Series 14, Series 24, Series 23 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
March 5, 2021 - April 12, 2021
STOEVER, GLASS & COMPANY INC.
January 7, 2019 - December 31, 2019
HIGHTOWER SECURITIES, LLC
October 28, 2016 - January 10, 2017
J.P. MORGAN SECURITIES LLC
April 30, 2004 - January 10, 2017
J.P. MORGAN SECURITIES LLC
March 31, 2004 - May 11, 2004
FORESIDE DISTRIBUTION SERVICES, L.P.
January 3, 2003 - March 17, 2004
OPPENHEIMER & CO. INC.
August 24, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
August 18, 1999 - August 21, 2000
CIBC WORLD MARKETS CORP.
March 12, 1999 - July 26, 1999
J. B. HANAUER & CO.
February 19, 1998 - March 15, 1999
UBS FINANCIAL SERVICES INC.
June 5, 1997 - January 29, 1998
CORRESPONDENT SERVICES CORPORATION
May 13, 1997 - May 23, 1997
APEX CLEARING CORPORATION
April 7, 1995 - May 12, 1997
UBS FINANCIAL SERVICES INC.
October 11, 1993 - February 6, 1995
FINANCIAL SQUARE PARTNERS
July 31, 1993 - October 22, 1993
CITIGROUP GLOBAL MARKETS INC.
June 30, 1993 - July 31, 1993
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 8
Date: 1/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STOEVER, GLASS & COMPANY INC.
CRD#: 7031 / SEC#: , 8-19273
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Financial | 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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