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Detailed Report
LINDSEY SCOTT FERGUSON
CRD#: 1997373
IA
Investment Adviser
B
Broker
NEWEDGE ADVISORSCRD#: 171351 500 West Putnam Avenue
STE 400
Greenwich, CT 06830
NEWEDGE SECURITIES, LLCCRD#: 10674 500 WEST PUTNAM AVE
SUITE 400
GRENWICH, CT 06830
Registration History
199019952000200520102015202020252 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2021 (6 years)2 FIRMS2021 - Present (3 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)1999 - 2012 (13 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1994 - 1999 (5 years)BTUCKER ANTHONY INCORPORATED (CRD# 837)1992 - 1994 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 1992 (2 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2001 - 2012 (11 years)
Disclosure(s)
View By:
1/20/1997
Customer Dispute
Settled
9/12/1995
Investigation
License(s)

State Registrations

B
California 9/23/2021
B
Georgia 9/23/2021
B
Colorado 9/23/2021
B
Missouri 9/23/2021
B
Connecticut 9/23/2021
B
New Jersey 9/23/2021
IA
Connecticut 9/23/2021
B
New York 9/23/2021
B
Florida 9/23/2021
IA
Texas 9/23/2021

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEWEDGE ADVISORS (CRD#:171351)
500 West Putnam Avenue STE 400, Greenwich, CT 06830
Registered with this firm since 9/23/2021
B
NEWEDGE SECURITIES, LLC (CRD#:10674)
500 WEST PUTNAM AVE SUITE 400, GRENWICH, CT 06830
750 East Main Street Suite 620, Stamford, CT 06902
Registered with this firm since 9/23/2021
Previous Registration(s)
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IA
 06/05/2015 - 10/01/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GREENWICH, CT
B
 06/05/2015 - 10/01/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GREENWICH, CT
IA
 10/01/2012 - 06/17/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) RIVERSIDE, CT
B
 10/01/2012 - 06/17/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) RIVERSIDE, CT
IA
 01/22/2001 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GREENWICH, CT
B
 06/30/1999 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GREENWICH, CT
B
 04/28/1994 - 07/09/1999 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 07/01/1992 - 04/20/1994 TUCKER ANTHONY INCORPORATED (CRD#:837) BOSTON, MA
B
 11/22/1989 - 07/01/1992 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.