Adrienne 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.
Adrienne Ferguson, who also goes by Adrienne Nichele Ferguson, was a registered financial professional .
Adrienne is a previously registered financial professional and started their career in finance in 1996. Adrienne had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 52, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2020 - August 16, 2021
ALLSPRING FUNDS DISTRIBUTOR, LLC
July 19, 2018 - September 29, 2020
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
November 2, 2016 - July 5, 2018
ALLSPRING FUNDS DISTRIBUTOR, LLC
October 14, 2009 - August 1, 2014
UBS FINANCIAL SERVICES INC.
August 11, 2008 - August 1, 2014
UBS FINANCIAL SERVICES INC.
January 3, 2006 - August 5, 2008
E*TRADE SECURITIES LLC
December 31, 2001 - December 31, 2005
HARRISDIRECT LLC
October 11, 1999 - December 31, 2005
HARRISDIRECT LLC
January 1, 1998 - May 1, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 9, 1997 - January 1, 1998
NATIONSSECURITIES
April 25, 1996 - January 21, 1997
AMERIPRISE ADVISOR 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
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
