Rick S. Fergerson
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.
Rick Shane Fergerson, AIF® was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1997. Rick had worked at 3 firms and has passed the Series 65, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2006 - September 6, 2025
FERGERSON FINANCIAL LLC
June 7, 2000 - March 7, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
January 22, 1997 - June 15, 2000
TEMPLETON/FRANKLIN INVESTMENT SERVICES,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
Current Firm
FERGERSON FINANCIAL LLC
CRD#: 139572 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 211 |
| AUM (Assets Under Management) | $ 100,620,961 |
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.
