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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ferguson is a financial advisor with over 35 years of experience in the industry. James has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 2016. Before joining Merrill Lynch, James worked at Morgan Stanley and Citigroup Global Markets Inc. James holds Series 7, Series 31 and SIE licenses. James also holds licenses in 26 states. James is a highly experienced financial advisor who is committed to providing his clients with the best possible service. James specializes in providing financial advice to individuals, corporations, and institutions. James has a strong track record of success in helping clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
WA
10/07/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
06/01/2009 - 10/21/2016
MORGAN STANLEY (BELLEVUE WA)
WA
12/04/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
NY
09/11/1989 - 12/16/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
NA
02/27/1987 - 09/18/1989
DAIN BOSWORTH INCORPORATED
BC
Issued 04/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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