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BF

Brian C. Ferguson

PRUDENTIAL ANNUITIES DISTRIBUTORS,
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 4663790
BF

Professional summary

Brian Christopher Ferguson, CIMA® is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2003. Brian has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Christopher 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®
CIMA®

Certified Investment Management Analyst

Experience

Current

July 28, 2015 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484Office #2: 213 Washington Street, Newark, NJ 07102Office #3: 600 W Office Center Drive Suite 300, Fort Washington, PA 19034
BD
CRD#: 21570
Shelton, CT
Past

January 29, 2019 - February 20, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Dresher, PA
Past

July 29, 2015 - November 11, 2020

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

September 29, 2006 - July 23, 2015

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PRINCETON, NJ
Past

September 29, 2006 - July 23, 2015

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

February 10, 2005 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

February 10, 2005 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

October 28, 2003 - February 10, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

October 28, 2003 - February 10, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 31, 2003 - August 25, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PRINCETON, NJ
Past

July 17, 2003 - August 25, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 17, 2003 - August 25, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

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
Pennsylvania
(8/12/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/30/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Corporate Drive, Shelton, CT 06484
Mailing Address
One Corporate Drive, Shelton, CT 06484
Phone number
(800) 628-6039
Established
Delaware since 09/08/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASHAREHOLDER COMMON
CARROLL, TRACEY MARIAPRESIDENT5841463
HAGGERTY, SCOTT PETERCHIEF EXECUTIVE OFFICER2619329
HARTNETT, CHRISTINA ACHIEF OPERATING OFFICER2672099
MCGRATH, SHANE THOMASCHIEF COMPLIANCE OFFICER4458909
SMIT, ROBERT PHILIPFINOP, CFO2332366
THOMSEN, JORDAN KCHIEF LEGAL OFFICER AND SECRETARY2821664

Disclosures

Regulatory Event2
Civil Event1

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.

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570Shelton, CT 06484

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