Christopher J. Ferguson

PINE CAPITAL

Portland, ME 04101

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CRD#: 7789589

Professional summary

Christopher Joseph Ferguson, who also goes by Chris Ferguson, is a registered financial advisor currently at PINE CAPITAL located in Portland, Maine.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Christopher has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris 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) CHERRY BOMB TABLE GAMES; NON-INVESTMENT RELATED; 528 FORT WASHINGTON AVE, FORT WASHINGTON, PA 19034; GAME DEVELOPMENT; OWNER, MARKETING & SALES; 07/2021; APPROX. 4 HOURS PER MONTH DURING NON-TRADING HOURS; PART OWNER OF GAME DEVELOPMENT COMPANY. 2) PORTLAND HIGH SCHOOL; NON-INVESTMENT RELATED; 284 CUMBERLAND AVENUE, PORTLAND, ME 04101; FOOTBALL; FOOTBALL COACH; 08/2023; APPROX. 20 HOURS PER MONTH DURING NON-TRADING HOURS; FOOTBALL COACH. 3) BOBBLES & LACE CHARLESTON; NON-INVESTMENT RELATED; 6 QUAKER LANE, PORTLAND, ME 04103; WOMEN'S BOUTIQUE; OWNER; 11/2023; APPROX. 4 HOURS PER MONTH DURING NON-TRADING HOURS; OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Joseph 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®

None

Experience

Current

August 15, 2023 - Present

PINE CAPITAL

Office #1: 100 Commercial Street Suite 311, Portland, ME 04101

RIA

CRD#: 129889

Portland, ME

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

Maine
(8/15/2023)

IAR

Massachusetts
(6/5/2024)

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: 7/1/2023

Uniform Investment Adviser Law Examination

Current Firm

PINE CAPITAL

PINE CAPITAL | PINE CAPITAL, LLC

CRD#: 129889 / SEC#:

Maine

Registered Investment Advisory firm - (2/24/2005 Approved)

Massachusetts

Registered Investment Advisory firm - (9/25/2000 Approved)

Texas

Registered Investment Advisory firm - (4/1/2024 Conditional Restricted)

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Contact information

Main Address

100 Commercial Street Suite 311, Portland, ME 04101

Mailing Address

Phone number

(207) 775-2260

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 64,468,032

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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Christopher J. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Joseph Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINE CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2023

Current Firm

PINE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PINE CAPITAL

TRUST BUT VERIFY

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