Luke D. Ferrell
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.
Luke Daniel Ferrell, who also goes by Luke Daniel Ferrel, was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 2001. Luke had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - August 27, 2019
AGENCY TRADING GROUP, INC.
November 22, 2006 - October 22, 2010
PULSE TRADING, INC.
July 17, 2006 - September 5, 2006
KNIGHT CAPITAL AMERICAS, L.P.
June 28, 2005 - September 5, 2006
KNIGHT DIRECT LLC
April 14, 2004 - July 8, 2005
CONOR PETERSON LLC
June 11, 2002 - April 16, 2003
UBS FINANCIAL SERVICES INC.
May 23, 2001 - April 16, 2003
UBS FINANCIAL SERVICES INC.
May 9, 2001 - June 4, 2002
FIDELITY BROKERAGE SERVICES LLC
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 55
Date: 6/9/2004
Limited Representative-Equity Trader ExamCurrent Firm
AGENCY TRADING GROUP, INC.
CRD#: 108887 / SEC#: , 8-53088
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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.
