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RICHARD SIDNEY FERGUSON
DICK FERGUSON
CRD#: 1748942
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 394 MILLEDGE AVENUE
SUITE 106
ATHENS, GA 30605
SUITE 106
ATHENS, GA 30605
0
Disclosures
37
Years of Experience
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State Registrations
B
Alabama 10/5/2022
B
North Carolina 10/13/2022
B
California 2/1/2024
B
Ohio 10/5/2022
B
Florida 10/5/2022
B
South Carolina 10/5/2022
B
Georgia 10/5/2022
B
Tennessee 10/5/2022
IA
Georgia 10/7/2022
IA
Texas 10/5/2022
B
Michigan 5/7/2024
B
Washington 10/5/2022
B
Missouri 10/5/2022
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 10/5/2022
B
Registered with this firm since 10/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/11/2012 - 10/06/2022 | ATHENS, GA | |
B | 04/11/2012 - 10/06/2022 | ATHENS, GA | |
IA | 01/27/2003 - 10/11/2013 | ATHENS, GA | |
B | 12/22/1987 - 10/11/2013 | ATHENS, GA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.