MF
Monte C. Ferguson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fort Worth, TX 76116
Some features on this profile are disabled
CRD#: 2627255
MF
Professional summary
Monte Clark Ferguson, AIF®, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fort Worth, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Fort Worth, Texas.
Monte is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Monte has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.PIVOTAL FINANCIAL ADVISORS LLC, 6300 RIDGLEA PL, STE 801, FORTH WORTH, TX, 5/01/2008 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 40HR/MO - 20HR/TRADING. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40 HR/MO - 32HR/TRADING. 12/01/99 3. MONTE C. FERGUSON, 6736 SAVANNAH LANE, FORT WORTH, TX, INDEPENDENT EXECUTOR OF WILL AND ESTATE, 06/18/21, NIR, 0/HR/MO- 0/TRADING HR. 4. PIVOTAL FINANCIAL ADVISORS LLC, 6300 Ridglea Pl, Ste 801, Fort Worth TX 76116, United States, 06/10/2024, Owner, DBA Name, NIR, 200/HR/MO- 120/TRADING HR.
CRS (Client Relationship Summary) - RIA
Click below to view Monte Clark Ferguson's 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®
CFP®
Start date: 2007
Experience
Current
May 5, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6300 Ridglea Pl Ste 801, Fort Worth, TX 76116RIA
CRD#: 134139
Fort Worth, TX
Current
May 5, 2008 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6300 Ridglea Pl Ste 801, Fort Worth, TX 76116Office #2: 2632 S. 11th St, Kalamazoo, MI 49009Office #3: 203 S Prospect Ave, Hartville, OH 44632BD
CRD#: 39543
Fort Worth, TX
Past
September 2, 2005 - February 15, 2008
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
FORT WORTH, TX
Past
May 12, 2005 - September 2, 2005
FIRST COMMAND BANK
RIA
CRD#: 128851
FORT WORTH, TX
Past
July 14, 1995 - February 15, 2008
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
FORT WORTH, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(11/30/2016)
RR
Alaska(11/30/2016)
RR
Arizona(5/5/2008)
RR
Arkansas(11/30/2016)
RR
California(12/12/2011)
RR
Colorado(11/30/2016)
RR
Connecticut(11/30/2016)
RR
Delaware(11/30/2016)
RR
District of Columbia(11/30/2016)
RR
Florida(5/5/2008)
RR
Georgia(11/30/2016)
RR
Hawaii(11/30/2016)
RR
Idaho(11/30/2016)
RR
Illinois(11/30/2016)
RR
Indiana(11/30/2016)
RR
Iowa(11/30/2016)
RR
Kansas(11/30/2016)
RR
Kentucky(11/30/2016)
RR
Louisiana(11/30/2016)
RR
Maine(11/30/2016)
RR
Maryland(11/30/2016)
RR
Massachusetts(11/30/2016)
RR
Michigan(1/6/2009)
RR
Minnesota(11/30/2016)
RR
Mississippi(11/30/2016)
RR
Missouri(1/7/2013)
RR
Montana(11/30/2016)
RR
Nebraska(7/23/2008)
RR
Nevada(11/30/2016)
RR
New Hampshire(11/30/2016)
RR
New Jersey(11/30/2016)
RR
New Mexico(11/30/2016)
RR
New York(7/25/2011)
RR
North Carolina(7/29/2008)
RR
North Dakota(11/30/2016)
RR
Ohio(11/30/2016)
RR
Oklahoma(5/13/2009)
RR
Oregon(11/30/2016)
RR
Pennsylvania(11/30/2016)
RR
Puerto Rico(11/30/2016)
IAR
Puerto Rico(1/17/2025)
RR
Rhode Island(11/30/2016)
RR
South Carolina(11/30/2016)
RR
South Dakota(11/30/2016)
RR
Tennessee(11/30/2016)
RR
Texas(5/5/2008)
IAR
Texas(5/5/2008)
RR
Utah(10/31/2017)
RR
Vermont(11/30/2016)
IAR
Virgin Islands(1/17/2020)
RR
Virgin Islands(5/6/2022)
RR
Virginia(5/5/2008)
RR
Washington(11/30/2016)
RR
West Virginia(11/30/2016)
RR
Wisconsin(4/7/2010)
RR
Wyoming(11/30/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
