Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Ferguson is a financial advisor with over 10 years of experience. James is currently registered with Wells Fargo Clearing Services, LLC, in Georgia. Prior to joining Wells Fargo, James worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, TD Ameritrade, Inc., and E*TRADE Securities LLC. James holds a Series 6, 7, 63 and 66 licenses. James has experience working with high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and other businesses.
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.
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.
Investment consulting services to institutional clients
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
GA
12/02/2021 - Present
Wells Fargo Clearing Services, LLC (ALPHARETTA GA)
GA
09/20/2018 - 10/28/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CUMMING GA)
GA
02/26/2018 - 08/31/2018
TD AMERITRADE, INC. (MARIETTA GA)
GA
02/27/2017 - 02/26/2018
SCOTTRADE, INC. (ALPHARETTA GA)
GA
09/02/2011 - 02/27/2017
E*TRADE SECURITIES LLC (ALPHARETTA GA)
CA
01/23/2008 - 09/04/2008
FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)
WI
11/02/2007 - 12/10/2007
AMERICAN FAMILY SECURITIES, LLC (MADISON WI)
BOTH
Issued 07/14/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/12/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2011
Series 7 - General Securities Representative Examination
BC
Issued 11/01/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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