Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Ferguson is a financial professional with over 20 years of experience in the industry. James has a strong background in securities, having passed several industry exams including the Series 3, 7, and 63. James is currently registered with Stonex Financial Inc. in Illinois. Previously, James was registered with RBC CAPITAL MARKETS, LLC and BANC OF AMERICA SECURITIES LLC. James's experience and expertise provide valuable insight for clients seeking financial guidance.
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.
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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IL
06/27/2013 - Present
Stonex Financial Inc. (Chicago IL)
IL
05/01/2008 - 06/03/2011
RBC CAPITAL MARKETS, LLC (CHICAGO IL)
IL
09/24/2001 - 05/08/2008
BANC OF AMERICA SECURITIES LLC (CHICAGO IL)
BC
Issued 11/16/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2001
Series 7 - General Securities Representative Examination
BC
Issued 01/19/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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