James Guy Ferguson
Professional Summary
James Guy Ferguson is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Chico, California. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Disclosures on record.
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.
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current Firm
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
Contact Information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158Phone Number
(866) 544-4968Established
Texas since 11/18/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,647SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | — |
| BRODD, MARY JULIEANN | VICE PRESIDENT AND CORPORATE SECRETARY | 8322295 |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| DUCOTE, LOUIS | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISORY | 6913500 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| GUERRERA, DARREN | VICE PRESIDENT, SALES & INCENTIVE COMPENSATION | 2541120 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| PICONE, JOHN WILLIAM | OFFICE OF HEAD OF RETIREMENT AND WEALTH MANAGEMENT DISTRIBUTION | 2717710 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory Assets Under Management
Total Number of Accounts
293,026AUM (Assets Under Management)
$29,215,100,590Disclosures
Regulatory Event
17Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 04/29/2024 | Cover Page | Report |
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Primary Firm SEC Registration
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
State Registrations and Notice Filings
(2/25/2025)
(2/25/2025)
(1/19/2023)
(2/15/2023)
(9/25/2018)
(9/28/2018)
(1/19/2023)
(1/30/2023)
(2/11/2022)
(2/14/2022)
(2/11/2022)
(2/14/2022)
(10/24/2023)
(12/19/2023)
(2/11/2022)
(2/14/2022)
(1/19/2023)
(1/23/2023)
(2/11/2022)
(2/14/2022)
(12/18/2015)
(12/21/2015)
(1/19/2023)
(1/20/2023)
(1/19/2023)
(1/26/2024)
(1/19/2023)
(1/19/2023)
(2/11/2022)
(2/14/2022)
(2/11/2022)
(2/14/2022)
(2/11/2022)
(2/14/2022)
(2/11/2022)
(3/24/2022)
(1/19/2023)
(1/23/2023)
(2/11/2022)
(2/14/2022)
(3/20/2025)
(3/20/2025)
(2/11/2022)
(2/15/2022)
(1/25/2024)
(1/26/2024)
(2/11/2022)
(2/23/2022)
(1/19/2023)
(1/25/2023)
(8/11/2022)
(8/12/2022)
(1/19/2023)
(8/29/2024)
(2/11/2022)
(2/14/2022)
(2/11/2022)
(2/22/2022)
(2/14/2022)
(2/14/2022)
(1/19/2023)
(1/24/2023)
(9/25/2018)
(9/25/2018)
(2/11/2022)
(2/14/2022)
(2/11/2022)
(2/21/2022)
(1/19/2023)
(2/7/2023)
(2/11/2022)
(2/14/2022)
(1/19/2023)
(2/11/2022)
(2/12/2022)
(8/23/2016)
(1/24/2023)
(2/5/2026)
(2/5/2026)
(2/11/2022)
(2/14/2022)
(4/2/2020)
(1/19/2023)
(1/19/2023)
(1/19/2023)
(1/19/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRS (Client Relationship Summary) - RIA
Click below to view James Guy Ferguson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Guy Ferguson's CRS (Customer Relationship Summary).
Similar Advisors
CHARLES SCHWAB & CO., INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
HUMANIZE WEALTH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.