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JF

John D. Ferguson

AMG DISTRIBUTORS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4157506
JF

Professional summary

John Donald Ferguson, CFA is a registered financial professional currently at AMG DISTRIBUTORS, INC. located in Stamford, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view John Donald 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®
CFA

Chartered Financial Analyst

Experience

Current

January 26, 2015 - Present

AMG DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd Suite 500, Stamford, CT 06901
BD
CRD#: 27314
Stamford, CT
Past

October 6, 2011 - October 28, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOSTON, MA
Past

October 5, 2011 - October 28, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA
Past

March 16, 2011 - August 12, 2011

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
DANVERS, MA
Past

March 9, 2011 - August 12, 2011

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
DANVERS, MA
Past

March 5, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BURLINGTON, MA
Past

March 3, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BURLINGTON, MA
Past

September 17, 2007 - November 23, 2007

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MARLBOROUGH, MA
Past

April 19, 2006 - November 23, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MARLBOROUGH, MA
Past

July 29, 2003 - September 27, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

March 14, 2003 - August 11, 2003

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

March 3, 2003 - March 12, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

December 19, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

April 13, 2000 - November 29, 2002

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY

State Registrations and Notice Filings

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

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
Connecticut
(1/26/2015)
RR
Massachusetts
(1/26/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/27/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/17/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/31/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/12/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AMG DISTRIBUTORS, INC.
333 GLOBAL ADVISERS | THE MANAGERS FUNDS LLC | THE MANAGERS FUNDS L.P. | THE MANAGERS FUNDS | MANAGERSCHOICE | MANAGERS INVESTMENT GROUP LLC | MANAGERS DISTRIBUTORS, INC. | MANAGERS AMG FUNDS | EAIMC PARTNERS L.P. | AMG DISTRIBUTORS, INC.

CRD#: 27314 / SEC#: , 8-43057

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Mailing Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Phone number
(203) 299-3500
Established
Delaware since 12/29/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMG FUNDS LLCSOLE SHAREHOLDER153456
GALIS, AARONDIRECTOR7333959
HOPKINS, THOMAS JOHNPRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP1835087
JACOBS ANTONACCIO, RACHEL ELIZABETHHEAD OF CLIENT SOLUTIONS AND PRINCIPAL3189490
KINNE, KEITHA LEEPRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER2039630
SPELLMAN, PATRICK JOSEPHCHIEF COMPLIANCE OFFICER3086822

Disclosures

Regulatory Event2

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.

Company Information

AMG DISTRIBUTORS, INC.

CRD#: 27314Stamford, CT 06901

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