Alec L. Ferguson

EXPONENT WEALTH LLC

PROVO, UT

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CRD#: 5939859

Professional summary

Alec L Ferguson, who also goes by Alec Liam Ferguson, Alec Ferguson, is a registered financial advisor currently at EXPONENT WEALTH LLC located in Provo, Utah.

Alec is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Alec has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alec Liam Ferguson | Alec 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.

4.Rental Property; Investment related - Yes; Provo, Utah ; Owner of a rental duplex; Landlord/Owner; Start date 08/2016 ;During trading hours hours: 0; After business hours/mo: 1; Nature of OBA: Property management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec L Ferguson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 27, 2025 - Present

EXPONENT WEALTH LLC

RIA

CRD#: 334968

PROVO, UT

Past

August 24, 2022 - March 28, 2025

DRIVE WEALTH ADVISERS

RIA

CRD#: 174728

Lehi, UT

Past

August 18, 2021 - July 26, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Provo, UT

Past

August 18, 2021 - July 26, 2022

MORGAN STANLEY

CRD#: 149777

Provo, UT

Past

September 1, 2016 - August 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PROVO, UT

Past

August 20, 2016 - August 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PROVO, UT

Past

August 10, 2015 - July 15, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

PALO ALTO, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(3/27/2025)

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 65

Date: 4/1/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2015

General Securities Representative Examination

Current Firm

EXPONENT WEALTH LLC

CRESCERA WEALTH | EXPONENT WEALTH LLC | EXPONENT WEALTH

CRD#: 334968 / SEC#: 801-132228

RIA

Registered Investment Advisory firm - (7/24/2025 Terminated)

Utah

Registered Investment Advisory firm - (7/23/2025 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Provo, UT

Mailing Address

Phone number

(801) 459-1190

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 40,000,000

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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Advisor Monitoring

Firm Stability Insights

Alec L. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec L Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

DRIVE WEALTH ADVISERS

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2017

Series 63

Date: 9/24/2015

SIE

Date: 10/1/2018

Series 7

Date: 8/10/2015

Current Firm

EXPONENT WEALTH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EXPONENT WEALTH LLC

TRUST BUT VERIFY

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