Gregory P. 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 P Ferguson was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2011. Gregory had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2016 - June 30, 2017
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
February 3, 2015 - December 7, 2015
SUMMIT BROKERAGE SERVICES, INC.
February 3, 2015 - December 7, 2015
LEGEND EQUITIES CORPORATION
February 3, 2015 - December 7, 2015
INVESTORS CAPITAL CORP.
February 3, 2015 - December 7, 2015
CETERA INVESTMENT SERVICES LLC
February 3, 2015 - December 7, 2015
CETERA FINANCIAL SPECIALISTS LLC
February 3, 2015 - December 7, 2015
CETERA ADVISORS LLC
February 3, 2015 - December 7, 2015
CETERA WEALTH SERVICES, LLC
November 12, 2013 - December 7, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
November 12, 2013 - December 7, 2015
FIRST ALLIED SECURITIES, INC.
August 15, 2012 - November 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 29, 2011 - November 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
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
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
CRD#: 487 / SEC#: , 8-395
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO BANK, N.A. | MEMBER | |
| CLEWS, KENNETH JAMES | FINOP/PRINCIPAL FINANCIAL OFFICER | 4155852 |
| GALLO, NICOLE ELISE | CHIEF COMPLIANCE OFFICER | 4915541 |
| NICOLOSI, SEAN MICHAEL | PRINCIPAL OPERATIONS OFFICER, DIRECTOR | 4082275 |
| TABACK, ADAM IRA | PRESIDENT / DIRECTOR | 2378786 |
| WILLS-ZAPATA, TRACY CECILE | DIRECTOR | 2601580 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
