Gregory W. Ferguson
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.
Gregory Watson Ferguson was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2006. Gregory had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - April 10, 2024
MORGAN STANLEY
February 24, 2023 - April 10, 2024
MORGAN STANLEY
October 5, 2021 - January 23, 2023
INVESTX MARKETS LLC
February 25, 2015 - September 27, 2021
STADION MONEY MANAGEMENT, LLC
October 13, 2014 - December 31, 2020
ALPS DISTRIBUTORS, INC.
December 22, 2010 - October 2, 2014
BLACKROCK INVESTMENT MANAGEMENT, LLC
December 21, 2010 - October 2, 2014
BLACKROCK INVESTMENTS, LLC
January 5, 2010 - December 14, 2010
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - December 14, 2010
DELAWARE DISTRIBUTORS, L.P.
June 5, 2008 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 5, 2008 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 9, 2006 - May 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2006 - May 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
