Randal E. Ferguson

FIRST WESTERN SECURITIES

Hurst, TX 76053

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CRD#: 859884

Professional summary

Randal Earl Ferguson is a registered financial advisor currently at FIRST WESTERN SECURITIES, INC. located in Hurst, Texas.

Randal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Randal has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randal Earl Ferguson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Randal Earl 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

February 21, 2003 - Present

FIRST WESTERN SECURITIES, INC.

Office #1: 669 Airport Freeway #409, Hurst, TX 76053

RIA

CRD#: 19537

Hurst, TX

Current

July 7, 1987 - Present

FIRST WESTERN SECURITIES, INC.

Office #1: 669 Airport Freeway #409, Hurst, TX 76053

RIA

CRD#: 19537

Hurst, TX

Past

April 21, 1987 - July 15, 1987

DFW CLEARING, INC.

CRD#: 7736

Past

August 22, 1983 - April 10, 1987

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

November 27, 1978 - September 6, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

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

IAR

Arizona
(9/8/2021)

IAR

California
(3/9/2012)

Florida
(1/4/2007)

Georgia
(6/21/2016)

New Mexico
(7/12/2024)

Ohio
(6/13/2019)

Oklahoma
(12/31/1995)

Texas
(1/18/1996)

IAR

Texas
(2/21/2003)

Wyoming
(3/6/2008)

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

State Security Law Exam

IAR

Series 66

Date: 1/22/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/19/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 9/9/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/4/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/10/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

FIRST WESTERN SECURITIES | FIRST WESTERN SECURITIES, INC.

CRD#: 19537 / SEC#: 801-70430, 8-37613

RIA

Registered Investment Advisory firm - SEC (6/18/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/15/2013 Approved)

California

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Georgia

Registered Investment Advisory firm - SEC (9/18/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/3/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/30/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

669 Airport Freeway #409 Suite 409, Hurst, TX 76053

Mailing Address

669 Airport Freeway #409, Hurst, TX 76053

Phone number

(817) 553-1492

Established

Texas since 03/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FIRST WESTERN SECURITIES VOTING TRUST	VOTING TRUST
FERGUSON, RANDAL EARL	PRESIDENT/CHIEF COMPLIANCE OFFICER	859884
KILPATRICK, BRYAN CRAIG	CFO/FOP	1278558

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 41,715,412

Disclosures

Regulatory Event

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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Randal E. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randal Earl Ferguson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Randal Earl Ferguson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST WESTERN SECURITIES, INC.

DFW CLEARING, INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2003

Series 63

Date: 11/19/1979

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1978

Series 14

Date: 1/2/2023

Series 53

Date: 9/9/1987

Series 4

Date: 9/4/1987

Series 24

Date: 6/10/1987

FINRA

Current Firm

FIRST WESTERN SECURITIES, INC.

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FIRST WESTERN SECURITIES, INC.

TRUST BUT VERIFY

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