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James Mark Ferguson

Loop Capital Markets LLC

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About James Mark Ferguson

James Ferguson is a financial professional with over 10 years of experience in the industry. James is currently registered with Loop Capital Markets LLC and has previously held positions at Topeka Capital Markets Inc., Ascendiant Capital Markets, LLC, Capstone Investments, Pacific American Securities, LLC, and CIBC World Markets Corp. James's areas of expertise include equity trading. James holds the Series 63, Series 24, SIE, Series 55 and Series 17 licenses.

Firm Information

James Ferguson is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

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.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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James Ferguson’s Registration & Firm History

CA

06/28/2016 - Present

Loop Capital Markets LLC (Rancho Santa Fe CA)

CA

03/11/2013 - 06/03/2016

TOPEKA CAPITAL MARKETS INC. (SAN DIEGO CA)

CA

01/22/2013 - 03/11/2013

ASCENDIANT CAPITAL MARKETS, LLC (IRVINE CA)

CA

11/17/2008 - 01/09/2013

CAPSTONE INVESTMENTS (SAN DIEGO CA)

CA

10/29/2007 - 12/01/2008

PACIFIC AMERICAN SECURITIES, LLC (SAN DIEGO CA)

NY

07/19/2006 - 07/05/2007

CIBC WORLD MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/31/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/19/2011

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/20/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/18/2006

Series 17 - Limited Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Mark Ferguson.
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