MF
Mary C. Ferguson
CONCORDE FINANCIAL RESOURCES
YORK, SC 29745
Some features on this profile are disabled
CRD#: 4463477
MF
Professional summary
Mary Catherine Ferguson, who also goes by Cathy Ferguson, is a registered financial advisor currently at CONCORDE FINANCIAL RESOURCES located in York, South Carolina and WESTMINSTER FINANCIAL SECURITIES, INC. located in Wilkesboro, North Carolina.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mary has worked at 2 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathy Ferguson
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.
Registered representative of Westminster Financial Securities, Inc. 40 North Main Street, Suite 2400 Dayton, OH 45423 approx. 5 hours a week. Investment advisory representative of Concorde Financial Resources, LLC 1702 West US Hwy 421, Suite P Wilkesboro, NC 28697 approx. 35 hours a week. Life insurance agent currently she is not appointed with a company.
CRS (Client Relationship Summary) - RIA
Click below to view Mary Catherine 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®
NoneExperience
Current
September 10, 2013 - Present
CONCORDE FINANCIAL RESOURCES
Office #1: 12b N. Congress Street, York, SC 29745RIA
CRD#: 117836
YORK, SC
Current
July 10, 2003 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 1836 West Us Highway 421, Wilkesboro, NC 28697Office #2: 12b N. Congress St., York, SC 29745BD
CRD#: 20677
Wilkesboro, NC
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".
CF
CONCORDE FINANCIAL RESOURCES
CONCORDE FINANCIAL RESOURCES | CONCORDE FINANCIAL RESOURCES, LLC | CONCORDE FINANCIAL RESOURCES I INC.
CRD#: 117836 / SEC#: 801-113094
RIA
Registered Investment Advisory firm - (4/25/2018 Approved)Florida
Registered Investment Advisory firm - (4/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - (4/30/2018 Terminated)South Carolina
Registered Investment Advisory firm - (4/30/2018 Terminated)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.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
Alabama(12/1/2017)
RR
Alaska(3/15/2017)
RR
Arizona(2/7/2020)
RR
California(4/14/2016)
IAR
Florida(10/2/2014)
RR
Florida(4/14/2016)
RR
Georgia(4/14/2016)
RR
Hawaii(7/26/2021)
RR
Illinois(2/7/2020)
RR
Iowa(8/25/2022)
RR
Maine(9/21/2021)
RR
Maryland(10/13/2017)
RR
Massachusetts(1/23/2018)
RR
Michigan(3/25/2020)
RR
Minnesota(4/14/2016)
RR
Mississippi(2/7/2020)
RR
Missouri(12/4/2019)
RR
Montana(1/3/2017)
RR
North Carolina(7/29/2003)
IAR
North Carolina(9/10/2013)
RR
Pennsylvania(6/12/2017)
IAR
Pennsylvania(11/18/2021)
IAR
South Carolina(9/18/2014)
RR
South Carolina(2/11/2016)
RR
Texas(12/4/2019)
IAR
Texas(12/5/2019)
RR
Utah(10/25/2024)
RR
Virginia(4/14/2016)
RR
Washington(12/4/2019)
RR
West Virginia(1/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CONCORDE FINANCIAL RESOURCES
CONCORDE FINANCIAL RESOURCES | CONCORDE FINANCIAL RESOURCES, LLC | CONCORDE FINANCIAL RESOURCES I INC.
CRD#: 117836 / SEC#: 801-113094
RIA
Registered Investment Advisory firm - (4/25/2018 Approved)Florida
Registered Investment Advisory firm - (4/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - (4/30/2018 Terminated)South Carolina
Registered Investment Advisory firm - (4/30/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12b N. Congress Street, York, SC 29745
Mailing Address
Phone number
(336) 838-4100
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 515 |
| AUM (Assets Under Management) | $ 211,197,002 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
