Brett W. Ferrigan
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.
Brett Woolford Ferrigan was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2001. Brett had worked at 6 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2010 - August 29, 2013
ASSET & FINANCIAL PLANNING, LTD
October 4, 2010 - August 29, 2013
PRIME CAPITAL SERVICES, INC.
June 1, 2009 - October 11, 2010
MORGAN STANLEY
June 1, 2009 - October 11, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 7, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 2, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
February 28, 2001 - September 13, 2005
LEGG MASON WOOD WALKER, INCORPORATED
February 14, 2001 - September 13, 2005
LEGG MASON WOOD WALKER, INCORPORATED
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
ASSET & FINANCIAL PLANNING, LTD
CRD#: 110709 / SEC#: 801-20784
Contact information
Red Flags
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