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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 Christopher Ferguson has been in the financial services industry since May 1996. James is currently registered with Morgan Stanley in Illinois and Texas. He is also registered as an investment advisor in Texas. James has been with Morgan Stanley since June 2009, prior to that he was with Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James has passed a number of industry exams including the Series 7, Series 10, Series 9, Series 31, Series 63, and Series 65. James provides a variety of services to clients including financial planning, asset allocation advice, educational seminars, portfolio management, and selection of other advisors. James is committed to providing his clients with the highest level of service and expertise.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
09/23/2016 - Present
Morgan Stanley (Orland Park IL)
IL
09/04/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ORLAND PARK IL)
NY
06/28/1996 - 09/15/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/29/1996 - 03/28/1996
ADDISON FINANCIAL SERVICES, INC.
FL
02/28/1996 - 03/28/1996
ADDISON FINANCIAL SERVICES, INC. (PALM HARBOR FL)
IA
Issued 07/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/19/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 02/28/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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