Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kate? Claim Your ProfileKate Alexander Ferguson is a financial advisor with over 10 years of experience in the financial services industry. Kate currently works with LPL Financial LLC in Rock Hill, South Carolina. Prior to joining LPL Financial LLC, Kate worked at Capital Investment Group, Inc., Jackson National Life Distributors LLC, SunAmerica Capital Services, Inc., and Wells Fargo Advisors Financial Network, LLC. Kate has a wide range of experience in providing financial planning, portfolio management, and other investment-related services to individuals, corporations, and charitable organizations. Kate's expertise includes financial planning, investment management, retirement planning, and estate planning. Kate has a proven track record of success in helping her 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.
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.
Consulting and other non-discretionary advisory services
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
SC
12/02/2021 - Present
LPL Financial LLC (ROCK HILL SC)
SC
01/28/2016 - 12/10/2021
CAPITAL INVESTMENT GROUP, INC. (ROCK HILL SC)
TN
06/08/2015 - 12/03/2015
LPL FINANCIAL LLC (NASHVILLE TN)
TN
10/28/2013 - 05/14/2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (FRANKLIN TN)
CA
02/25/2013 - 10/14/2013
SUNAMERICA CAPITAL SERVICES, INC. (WOODLAND HILLS CA)
SC
10/26/2009 - 02/01/2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (PAWLEY'S ISLAND SC)
BOTH
Issued 10/05/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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