PF
Patrick J. Ferguson
VAN ECK SECURITIES
New York, NY 10017-4033
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CRD#: 6527844
PF
Professional summary
Patrick James Ferguson is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2015. Patrick has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Patrick 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
December 13, 2021 - Present
VAN ECK SECURITIES CORPORATION
Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033BD
CRD#: 2269
New York, NY
Past
August 12, 2015 - November 12, 2021
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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
Alabama(12/13/2021)
RR
Alaska(12/13/2021)
RR
Arizona(12/13/2021)
RR
Arkansas(12/13/2021)
RR
California(12/13/2021)
RR
Colorado(12/13/2021)
RR
Connecticut(12/13/2021)
RR
Delaware(12/13/2021)
RR
District of Columbia(12/13/2021)
RR
Florida(12/13/2021)
RR
Georgia(12/13/2021)
RR
Hawaii(12/13/2021)
RR
Idaho(12/13/2021)
RR
Illinois(12/13/2021)
RR
Indiana(12/13/2021)
RR
Iowa(12/13/2021)
RR
Kansas(12/13/2021)
RR
Kentucky(12/13/2021)
RR
Louisiana(12/13/2021)
RR
Maine(12/13/2021)
RR
Maryland(12/13/2021)
RR
Massachusetts(12/13/2021)
RR
Michigan(12/13/2021)
RR
Minnesota(12/13/2021)
RR
Mississippi(12/13/2021)
RR
Missouri(12/13/2021)
RR
Montana(12/13/2021)
RR
Nebraska(12/13/2021)
RR
Nevada(12/13/2021)
RR
New Hampshire(12/13/2021)
RR
New Jersey(12/13/2021)
RR
New Mexico(12/13/2021)
RR
New York(12/13/2021)
RR
North Carolina(12/13/2021)
RR
North Dakota(12/13/2021)
RR
Ohio(12/14/2021)
RR
Oklahoma(12/13/2021)
RR
Oregon(12/13/2021)
RR
Pennsylvania(12/13/2021)
RR
Puerto Rico(12/13/2021)
RR
Rhode Island(12/13/2021)
RR
South Carolina(12/13/2021)
RR
South Dakota(12/13/2021)
RR
Tennessee(12/13/2021)
RR
Texas(12/13/2021)
RR
Utah(12/13/2021)
RR
Vermont(12/13/2021)
RR
Virginia(12/13/2021)
RR
Washington(12/13/2021)
RR
West Virginia(12/13/2021)
RR
Wisconsin(12/13/2021)
RR
Wyoming(12/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VE
VAN ECK SECURITIES CORPORATION
I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Mailing Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Phone number
(212) 293-2000
Established
Delaware since 08/01/1955
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
