Dennis W. Ferguson

FERGUSON FINANCIAL ADVISORS

Newton, UT

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CRD#: 4301004

Professional summary

Dennis Workman Ferguson is a registered financial advisor currently at FERGUSON FINANCIAL ADVISORS located in Newton, Utah.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Dennis has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)FERGUSON FINANCIAL GROUP; NON INVESTMENT RELATED; 130 E 200 S NEWTON UT 84327; INSURANCE SALES; AGENT; 01/2003 TO PRESENT; 40 HOURS PER MONTH ALSO DURING TRADING HOURS; PROVIDE PRODUCT AND SERVICES FOR LIFE, HEALTH, DISABILITY, LONG TERM CARE AND SUPPLEMENTAL INSURANCE PLANS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Workman 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®

None

Experience

Current

February 28, 2023 - Present

FERGUSON FINANCIAL ADVISORS

RIA

CRD#: 323758

Newton, UT

Past

June 10, 2009 - February 28, 2023

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

NEWTON, UT

Past

June 10, 2009 - February 28, 2023

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

NEWTON, UT

Past

May 19, 2008 - June 16, 2009

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

LOGAN, UT

Past

May 19, 2008 - June 16, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

LOGAN, UT

Past

May 11, 2007 - May 22, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWTON, UT

Past

May 10, 2007 - May 22, 2008

LPL FINANCIAL LLC

CRD#: 6413

NEWTON, UT

Past

April 10, 2007 - June 25, 2007

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

OREM, UT

Past

April 12, 2002 - May 23, 2007

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

February 16, 2001 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Idaho
(3/20/2023)

IAR

Utah
(2/28/2023)

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

IAR

Series 65

Date: 2/13/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/15/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FERGUSON FINANCIAL ADVISORS

FERGUSON FINANCIAL ADVISORS | RAE WEALTH MANAGEMENT, LLC | FERGUSON FINANCIAL GROUP

CRD#: 323758 / SEC#:

Idaho

Registered Investment Advisory firm - (3/16/2023 Approved)

Utah

Registered Investment Advisory firm - (2/28/2023 Approved)

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Contact information

Main Address

Newton, UT

Mailing Address

P.o. Box 16, Newton, UT 84327

Phone number

(435) 535-0722

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 12,268,884

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.

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Firm Stability Insights

Dennis W. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Workman Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/2007

Series 63

Date: 2/27/2001

SIE

Date: 10/1/2018

Series 6

Date: 2/15/2001

Current Firm

FERGUSON FINANCIAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FERGUSON FINANCIAL ADVISORS

TRUST BUT VERIFY

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