Philip L. Ferguson

POLARIS FINANCIAL PLANNING.

APOPKA, FL

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CRD#: 4598368

Professional summary

Philip Lee Ferguson, who also goes by Philip Lee Ferguson Mr, is a registered financial advisor currently at POLARIS FINANCIAL PLANNING, LLC. located in Apopka, Florida.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Philip has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Philip Lee Ferguson Mr

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.

Mr. Ferguson is also the host of The Phil Ferguson Show which focuses on skepticism, atheism, investment philosophies, economics and politics.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Lee Ferguson's CRS (Customer Relationship Summary).

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

January 29, 2004 - Present

POLARIS FINANCIAL PLANNING, LLC.

RIA

CRD#: 123035

APOPKA, FL

Past

January 5, 2004 - November 13, 2006

BURNSIDE & ASSOCIATES, LTD

RIA

CRD#: 129559

DANVILLE, IL

Past

July 31, 2000 - December 31, 2003

POLARIS FINANCIAL PLANNING, LLC.

RIA

CRD#: 123035

DANVILLE, IL

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".

POLARIS FINANCIAL PLANNING, LLC.

CRD#: 123035 / SEC#: 801-126129

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

California

Registered Investment Advisory firm - (8/27/2022 Terminated)

Illinois

Registered Investment Advisory firm - (7/28/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(5/24/2016)

IAR

Florida
(8/15/2022)

IAR

Illinois
(1/29/2004)

IAR

Texas
(1/29/2016)

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: 7/24/2000

Uniform Investment Adviser Law Examination

Current Firm

POLARIS FINANCIAL PLANNING, LLC.

CRD#: 123035 / SEC#: 801-126129

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

California

Registered Investment Advisory firm - (8/27/2022 Terminated)

Illinois

Registered Investment Advisory firm - (7/28/2022 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2022 Terminated)

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Contact information

Main Address

Apopka, FL

Mailing Address

Phone number

(217) 597-1516

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (1/2/2025)

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 130,759,343

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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Philip L. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Lee Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

POLARIS FINANCIAL PLANNING, LLC.

BURNSIDE & ASSOCIATES, LTD

POLARIS FINANCIAL PLANNING, LLC.

Primary Firm SEC Registration

POLARIS FINANCIAL PLANNING, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2000

Current Firm

POLARIS FINANCIAL PLANNING, LLC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POLARIS FINANCIAL PLANNING, LLC.

TRUST BUT VERIFY

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