Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brant? Claim Your ProfileBrant Ferguson is a financial advisor with over 30 years of experience in the industry. Brant is currently registered with UBS Financial Services Inc. in Dallas, TX. Prior to UBS, Brant was associated with Citigroup Global Markets Inc. in Dallas, TX, Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY, and Thomas James Associates, Inc. in Rochester, NY. Brant holds the Series 7, Series 63 and Series 65 licenses. Brant also holds the SIE license. Brant is committed to providing personalized financial advice to individuals, families, and businesses. Brant is a member of the Circle Ten Council, Boy Scouts of America.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
05/05/2009 - Present
UBS Financial Services Inc. (DALLAS TX)
TX
01/19/1999 - 05/27/2009
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
NY
10/29/1992 - 01/26/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/27/1992 - 10/05/1992
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
IA
Issued 09/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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