Robert D. Ferguson

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CRD#: 5399860

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.

Robert D Ferguson JR, who also goes by Robert D Ferguson, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2007. Robert had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert D 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.

1. NAME OF OBA: LITTLE ROCK MANAGEMENT, LLC ADDRESS OF OBA: LITTLE ROCK, AR 72202 NATURE: MANAGEMENT SERVICES TO BUSINESS INTERESTS INVESTMENT RELATED: NO RELATIONSHIP WITH OBA: MEMBER DUTIES (BRIEF DESCRIPTION): PARTICIPATE IN THE MANAGEMENT OF REAL ESTATE HOLDING(S) START DATE: 05/2001 APPROX. NUMBER OF HOURS/MONTH: 10-19 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 10-19 2. NAME OF OBA: FCAFS, INC. ADDRESS OF OBA: LITTLE ROCK, AR 72202 NATURE: FINANCE CONSULTING AND REFERRAL SERVICES INVESTMENT RELATED: NO RELATIONSHIP WITH OBA: STOCKHOLDER DUTIES (BRIEF DESCRIPTION): TAX PREPARATION, FIRM MANAGEMENT START DATE: 12/1998 APPROX. NUMBER OF HOURS/MONTH: 1-9 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 3. NAME OF OBA: NEWLAND RECRUITING SERVICES, LLC ADDRESS OF OBA: LITTLE ROCK, AR 72202 NATURE: RECRUITING SERVICES INVESTMENT RELATED: NO RELATIONSHIP WITH OBA: MEMBER DUTIES (BRIEF DESCRIPTION): OWNER, RECRUIT POTENTIAL EMPLOYEES AND EMPLOYERS START DATE: 01/2015 APPROX. NUMBER OF HOURS/MONTH: 0 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 4. NAME OF OBA: EQUITY GROUP III, LLC ADDRESS OF OBA: LITTLE ROCK, AR 72202 NATURE: CONCRETE REDI MIX COMPANY INVESTMENT RELATED: NO RELATIONSHIP WITH OBA: MEMBER DUTIES (BRIEF DESCRIPTION): MANAGEMENT AND PLANNING START DATE: 03/2007 APPROX. NUMBER OF HOURS/MONTH: 20-39 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 10 5. NAME OF OBA: FCA, CERTIFIED PUBLIC ACCOUNTANTS, PLLP ADDRESS OF OBA: LITTLE ROCK, AR 72202 NATURE: FULL-SERVICE CPA FIRM INVESTMENT RELATED: NO TITLE OR RELATIONSHIP WITH OBA: MANAGING MEMBER DUTIES (BRIEF DESCRIPTION): TAX PREPARATION (CPA) START DATE (MM/DD/YYYY): 10/1982 APPROX. NUMBER OF HOURS/MONTH: 60+ APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 60+

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®

None

Experience

Past

March 8, 2022 - April 12, 2024

IPSEN ADVISOR GROUP

RIA

CRD#: 318010

SHERWOOD, AR

Past

August 5, 2015 - January 8, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LITTLE ROCK, AR

Past

August 5, 2015 - January 8, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LITTLE ROCK, AR

Past

March 10, 2010 - September 26, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LITTLE ROCK, AR

Past

March 10, 2010 - September 26, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 4, 2008 - March 15, 2010

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

LITTLE ROCK, AR

Past

November 28, 2007 - March 15, 2010

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

BRYANT, AR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IPSEN ADVISOR GROUP

IPSEN ADVISOR GROUP | IPSEN ADVISOR GROUP LLC

CRD#: 318010 / SEC#: 801-123145

RIA

Registered Investment Advisory firm - (2/2/2022 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/17/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/21/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/2007

General Securities Representative Examination

Current Firm

IPSEN ADVISOR GROUP

IPSEN ADVISOR GROUP | IPSEN ADVISOR GROUP LLC

CRD#: 318010 / SEC#: 801-123145

RIA

Registered Investment Advisory firm - (2/2/2022 Approved)

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Contact information

Main Address

2228 Cottondale Lane Suite 150, Little Rock, AR 72202

Mailing Address

Phone number

(501) 614-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 27 2025 IPS FORM ADV PART 2A AND 2B FINAL (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,004
AUM (Assets Under Management)	$ 217,766,402

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.

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Firm Stability Insights

Robert D. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

IPSEN ADVISOR GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2007

Series 7TO

Date: 11/21/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/27/2007

Current Firm

IPSEN ADVISOR GROUP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IPSEN ADVISOR GROUP

TRUST BUT VERIFY

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