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JF

James L. Ferguson

CAPITAL CITY SECURITIES
Powell, OH 43065
Some features on this profile are disabled
CRD#: 2356914
JF

Professional summary

James Lawson Ferguson, who also goes by Jim Ferguson, is a registered financial professional currently at CAPITAL CITY SECURITIES, LLC located in Powell, Ohio.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Ferguson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Lawson Ferguson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 8, 2008 - Present

CAPITAL CITY SECURITIES, LLC

Office #1: 3789 Attucks Dr, Powell, OH 43065
BD
CRD#: 146001
Powell, OH
Past

January 16, 2007 - September 12, 2007

REGIS ASSET MANAGEMENT LLC

RIA
CRD#: 125872
WESTERVILLE, OH
Past

May 12, 2006 - August 25, 2008

REGIS SECURITIES CORPORATION

BD
CRD#: 103711
MAUMEE, OH
Past

April 17, 2003 - May 17, 2006

LPL FINANCIAL LLC

RIA
CRD#: 6413
MAUMEE, OH
Past

April 11, 2003 - May 17, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
MAUMEE, OH
Past

January 17, 2003 - April 14, 2003

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 1, 1997 - January 8, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

July 31, 1995 - February 4, 1997

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

BD
CRD#: 2864
BRYAN, OH
Past

June 2, 1993 - July 31, 1995

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Michigan
(8/13/2008)
RR
North Carolina
(12/22/2020)
RR
Ohio
(8/8/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/1/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CAPITAL CITY SECURITIES, LLC
CAPITAL CITY SECURITIES, LLC

CRD#: 146001 / SEC#: , 8-67771

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
3789 Attucks Dr, Powell, OH 43065
Mailing Address
3789 Attucks Dr, Powell, OH 43065
Phone number
(614) 485-0803
Established
Ohio since 02/01/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPITAL CITY PARTNERS, INC.OWNER/MANAGING MEMBER
CRAWFORD, TODD EDWARDCCO1951009
CRAWFORD, TODD EDWARDPRESIDENT1951009
ROLAND, JAMES MERVINV. P. COMPLIANCE AND OPERATIONS1871181
ROLAND, JAMES MERVINOPTIONS PRINCIPAL1871181
TOMASELLO, JAC GERARDMP1749835
TOMASELLO, JAC GERARDGENERAL PRINCIPAL1749835
TOMASELLO, JAC GERARDFIN OP1749835

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

CAPITAL CITY SECURITIES, LLC

CRD#: 146001Powell, OH 43065

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