Floyd T. 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.
Floyd Thomasson Ferguson Jr, who also goes by Floyd Thomasson Ferguson Jr, Floyd Ferguson, Tom Ferguson, Floyd Thomasson Ferguson, was a registered financial professional .
Floyd is a previously registered financial professional and started their career in finance in 1997. Floyd had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2019 - March 15, 2021
EMPOWER ADVISORY GROUP, LLC
April 12, 2019 - March 15, 2021
EMPOWER FINANCIAL SERVICES, INC.
February 21, 2018 - April 9, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
February 20, 2018 - April 9, 2019
TRANSAMERICA RETIREMENT ADVISORS, LLC
December 13, 2016 - June 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 2016 - June 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2013 - June 15, 2016
STRATEGIC ADVISERS LLC
December 14, 2012 - June 8, 2016
FIDELITY BROKERAGE SERVICES LLC
November 15, 2011 - August 3, 2012
CUNA BROKERAGE SERVICES, INC.
May 5, 2011 - August 3, 2012
CUNA BROKERAGE SERVICES, INC.
July 9, 2009 - May 4, 2011
OSAIC FA, INC.
February 6, 2001 - January 7, 2009
EMPOWER FINANCIAL SERVICES, INC.
July 12, 2000 - February 5, 2001
CITISTREET EQUITIES LLC
May 19, 1999 - July 13, 2000
CAPITAL BROKERAGE CORPORATION
August 20, 1997 - May 19, 1999
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
Series 7TO
Date: 3/2/2024
General Securities Representative ExaminationCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
