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BRANT CHRISTOPHER FERGUSON
CRD#: 2230893
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 CRESCENT COURT
SUITE 600
DALLAS, TX 75201
Registration History
19952000200520102015202020252 FIRMS1999 - 2009 (10 years)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1999 (6 years)BTHOMAS JAMES ASSOCIATES, INC. (CRD# 15609)1992 - 1992 (<1 year)
License(s)

State Registrations

B
Arkansas 5/5/2009

B
Minnesota 6/12/2023

B
California 1/23/2019

B
New Jersey 1/18/2019

B
Colorado 10/1/2013

B
North Carolina 5/5/2009

B
Connecticut 2/4/2013

B
Ohio 10/29/2024

B
Delaware 1/24/2019

B
Oklahoma 1/23/2019

B
District of Columbia 1/2/2025

B
Pennsylvania 6/14/2022

B
Florida 5/5/2009

B
Tennessee 5/9/2018

B
Georgia 7/17/2024

B
Texas 5/5/2009

B
Indiana 7/7/2021

IA
Texas 5/5/2009

B
Louisiana 5/5/2009

B
Virginia 1/24/2019

B
Massachusetts 11/7/2018

B
Washington 5/5/2009

B
Michigan 5/7/2021

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 CRESCENT COURT SUITE 600, DALLAS, TX 75201
Dallas, TX
Registered with this firm since 5/5/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 CRESCENT COURT SUITE 600, DALLAS, TX 75201
Dallas, TX
Registered with this firm since 5/5/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/19/1999 - 05/27/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
01/19/1999 - 05/27/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
10/29/1992 - 01/26/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
08/27/1992 - 10/05/1992 THOMAS JAMES ASSOCIATES, INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
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B
Broker
IA
Investment Adviser
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.