James M. Ferguson
Professional summary
James Mark Ferguson is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Rancho Santa Fe, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 17 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Mark Ferguson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2016 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 16950 Via De Santa Fe Suite 5060-128, Rancho Santa Fe, CA 92067March 11, 2013 - June 3, 2016
TOPEKA CAPITAL MARKETS INC.
January 22, 2013 - March 11, 2013
ASCENDIANT CAPITAL MARKETS, LLC
November 17, 2008 - January 9, 2013
CAPSTONE INVESTMENTS
October 29, 2007 - December 1, 2008
PACIFIC AMERICAN SECURITIES, LLC
July 19, 2006 - July 5, 2007
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/28/2016)
Exams
Series 55
Date: 4/20/2007
Limited Representative-Equity Trader ExamSeries 17
Date: 7/18/2006
Limited Registered Representative ExaminationFINRA
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
