James R. Ferguson

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CRD#: 5103783

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.

James Robert Ferguson III, AIF®, CFP®, who also goes by James R. Ferguson III, James Robert Ferguson Ii, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2006. James had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Divorce Planning

Life Transitions

Investment Planning

Insurance Planning

Employee and Employer Plan Ben...

Tax Planning

Retirement Planning

Small Business Planning

Comprehensive Financial Planni...

Estate Planning

Do you have an area of expertise or specialization?

Business Owners

Corporate Executives

Entrepreneurs

Medical Professionals

What is your minimum asset requirement?

Are you a "fiduciary"?

Aliases

James R. Ferguson Iii | James Robert Ferguson Ii

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Past

March 14, 2018 - April 9, 2024

ROAN CAPITAL PARTNERS

RIA

CRD#: 293119

JOHNSON CITY, TN

Past

January 17, 2017 - February 21, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

KINGSPORT, TN

Past

July 1, 2016 - February 20, 2018

CWM, LLC

RIA

CRD#: 155344

Kingsport, TN

Past

July 1, 2016 - January 19, 2017

LPL FINANCIAL LLC

CRD#: 6413

KINGSPORT, TN

Past

September 9, 2015 - June 1, 2016

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

ALPHARETTA, GA

Past

April 21, 2014 - August 20, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BOCA RATON, FL

Past

November 8, 2007 - August 20, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BOCA RATON, FL

Past

June 6, 2006 - August 23, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHARLOTTE, NC

Past

June 5, 2006 - August 23, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/18/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2006

General Securities Representative Examination

Current Firm

ROAN CAPITAL PARTNERS

ROAN CAPITAL PARTNERS | ROAN CAPITAL PARTNERS, LLC

CRD#: 293119 / SEC#:

Tennessee

Registered Investment Advisory firm - (3/14/2018 Approved)

Texas

Registered Investment Advisory firm - (2/8/2024 Conditional Restricted)

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Contact information

Main Address

208 Sunset Dr. Suite #504, Johnson City, TN 37604

Mailing Address

Phone number

(423) 631-5786

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	365
AUM (Assets Under Management)	$ 80,506,661

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

James R. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CWM, LLC

LPL FINANCIAL LLC

MERCER GLOBAL ADVISORS INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2014

SIE

Date: 2/21/2018

Series 7

Date: 6/3/2006

Current Firm

ROAN CAPITAL PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROAN CAPITAL PARTNERS

TRUST BUT VERIFY

Contact information

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