PF
Peter J. Ferguson
JONESTRADING
Park City, UT 84098
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CRD#: 5397641
PF
Professional summary
Peter James Ferguson, who also goes by Peter J Ferguson, is a registered financial professional currently at JONESTRADING located in Park City, Utah.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2007. Peter has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter J Ferguson
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.
CRS (Client Relationship Summary) - BD
Click below to view Peter James Ferguson's 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®
NoneExperience
Current
October 7, 2025 - Present
JONESTRADING
Office #1: 1612 W. Ute Blvd Suite 205, Park City, UT 84098BD
CRD#: 6888
Park City, UT
Past
October 1, 2024 - February 26, 2025
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
July 31, 2017 - June 27, 2022
TD SECURITIES (USA) LLC
BD
CRD#: 18476
TORONTO, ONTARIO,
Past
September 18, 2007 - August 4, 2017
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
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
Alaska(11/5/2025)
RR
Colorado(10/7/2025)
RR
Connecticut(10/8/2025)
RR
Florida(10/7/2025)
RR
Illinois(10/7/2025)
RR
Kentucky(10/7/2025)
RR
Maine(10/31/2025)
RR
Maryland(10/9/2025)
RR
Massachusetts(11/3/2025)
RR
Michigan(10/7/2025)
RR
Minnesota(10/7/2025)
RR
Mississippi(10/7/2025)
RR
Missouri(11/3/2025)
RR
Montana(10/7/2025)
RR
Nebraska(10/7/2025)
RR
New Hampshire(11/4/2025)
RR
New Jersey(10/7/2025)
RR
Ohio(10/31/2025)
RR
Oklahoma(10/7/2025)
RR
Oregon(11/3/2025)
RR
Pennsylvania(10/17/2025)
RR
Puerto Rico(10/22/2025)
RR
Rhode Island(11/3/2025)
RR
South Carolina(10/7/2025)
RR
South Dakota(10/7/2025)
RR
Texas(10/7/2025)
RR
Utah(10/14/2025)
RR
Washington(10/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/22/2014
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
