Kevin T. Ferguson

Some features on this profile are disabled

CRD#: 4143905

Professional summary

Kevin Thomas Ferguson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Kevin had worked at 1 firm, which includes MANUFACTURERS SECURITIES SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 12, 2000 - March 19, 2001

MANUFACTURERS SECURITIES SERVICES, LLC

CRD#: 16009

BOSTON, MA

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".

MANUFACTURERS SECURITIES SERVICES, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC | NASL FINANCIAL SERVICES, INC. | MANUFACTURERS SECURITIES SERVICES, LLC | MANUFACTUERES SECURITIES SERVICES LLC | JOHN HANCOCK VARIABLE TRUST ADVISERS LLC

CRD#: 16009 / SEC#: 801-28947, 8-33102

RIA

Registered Investment Advisory firm - SEC (3/13/1987 Approved)

Terminated by SEC on 09/07/2002

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/11/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MANUFACTURERS SECURITIES SERVICES, LLC

CRD#: 16009 / SEC#: 801-28947, 8-33102

RIA

Registered Investment Advisory firm - SEC (3/13/1987 Approved)

Terminated by SEC on 09/07/2002

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Berkeley St., Boston, MA 02116-5022

Mailing Address

Phone number

(617) 663-3000

Established

Delaware since 09/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

194

Documents

Latest Form ADV

Part 2 Brochures

JOHN HANCOCK VARIABLE TRUST ADVISERS LLC (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
THE MANUFACTURERS LIFE INSURANCE COMPANY (U.S.A.)	MANAGING MEMBER
THE MANUFACTURERS LIFE INSURANCE COMPANY OF NEW YORK	MEMBER
FITZGERALD, JOHN DAVID	AUTHORIZED SIGNING OFFICER	2673880
LIBBEY, DAVID WILLIAM	EXECUTIVE SIGNING OFFICER	833611
MCCARTHY, KENNETH WILLIAM JR	AUTHORIZED SIGNING OFFICER	2382431

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 67,607,139,485

Disclosures

Regulatory Event

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Steven Barnes

BARNES WEALTH MANAGEMENT GROUP

IAR

BAKERSFIELD, CA

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin T. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MANUFACTURERS SECURITIES SERVICES, LLC

Primary Firm SEC Registration

MANUFACTURERS SECURITIES SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/2000

Series 6

Date: 7/11/2000

Current Firm

MANUFACTURERS SECURITIES SERVICES, LLC

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MANUFACTURERS SECURITIES SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors