Alan J. 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.
Alan Jay Ferguson, CFP® was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1994. Alan had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
Start date: 2004
Experience
June 2, 2016 - February 7, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 19, 2016 - September 13, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 10, 2013 - February 9, 2016
FIRST HORIZON ADVISORS, INC.
September 3, 2008 - October 10, 2013
FTB ADVISORS, INC.
April 10, 2007 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
April 5, 2007 - February 9, 2016
FIRST HORIZON ADVISORS, INC.
February 4, 1999 - October 9, 2006
MORGAN KEEGAN & COMPANY, LLC
June 24, 1996 - October 9, 2006
MORGAN KEEGAN & COMPANY, LLC
September 12, 1994 - August 24, 1995
IDS LIFE INSURANCE COMPANY
July 27, 1994 - August 24, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
