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CRD#: 43430
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

FERGHANA SECURITIES, INC. is located at 420 Lexington Avenue- Suite 1402, New York, NY 10170 and was first established at New York, Delaware in 04/22/1997. After operating for 29 years, FERGHANA SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FERGHANA SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. FERGHANA SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FERGHANA SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FERGHANA SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FERGHANA SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for FERGHANA SECURITIES, INC. Comes From

Understanding the Statistics for FERGHANA SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
420 Lexington Avenue- Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue - Suite 1402, New York, NY 10170
Firm Size
Small
Phone Number
(212) 986-7900
Established
Delaware since 04/22/1997
Firm Type
Corporation
Fiscal year end
April
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
FERGHANA PARTNERS, INC.PARENT COMPANY
KRIDEL, WILLIAM J JRCHIEF COMPLIANCE OFFICER704171
KRIDEL, WILLIAM J JRPRESIDENT704171
ERICKSON, JAMES ROBERTCOMPLIANCE OFFICER6375451

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at FERGHANA SECURITIES, INC.

WK

William J Kridel JR

RR
CRD#: 704171
Location:
New York, NY 10170
Company:
FERGHANA SECURITIES, INC.
Disclosures:
Experience:
46 years
JE

James Robert Erickson

RR
CRD#: 6375451
Location:
New York, NY 10170
Company:
FERGHANA SECURITIES, INC.
Disclosures:
Experience:
11 years
PT

Paul Benedict Thompson

RR
CRD#: 5983741
Location:
New York, NY 10170
Company:
FERGHANA SECURITIES, INC.
Disclosures:
Experience:
11 years
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