Individual Firm
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JAMES CHRISTOPHER FERGUSON
JAMES C FERGUSON, JIM FERGUSON
CRD#: 2673347
IA
B
MORGAN STANLEYCRD#: 149777 15341 South 94th Avenue
Suite 200
Orland Park, IL 60462
Suite 200
Orland Park, IL 60462
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1/30/2002
Customer Dispute
Denied
1/14/2002
Customer Dispute
Denied
State Registrations
B
Arizona 1/8/2021
B
Montana 5/10/2023
B
Arkansas 1/6/2022
B
Nebraska 1/20/2012
B
California 6/1/2009
B
Nevada 6/7/2018
B
Colorado 6/24/2009
B
New Jersey 6/1/2009
B
Connecticut 1/4/2022
B
New Mexico 9/3/2020
B
Delaware 5/7/2024
B
New York 1/20/2012
B
Florida 7/7/2011
B
North Carolina 7/16/2014
B
Georgia 1/20/2012
B
Ohio 7/12/2011
B
Idaho 1/4/2022
B
Pennsylvania 1/6/2022
B
Illinois 6/1/2009
B
South Carolina 3/13/2018
IA
Illinois 6/1/2009
B
South Dakota 1/6/2022
B
Indiana 6/1/2009
B
Tennessee 8/23/2018
B
Iowa 7/5/2022
B
Texas 7/7/2011
B
Kansas 1/6/2022
IA
Texas 9/23/2016
B
Kentucky 10/22/2015
B
Utah 6/1/2009
B
Maryland 8/9/2011
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 1/6/2022
B
Michigan 6/1/2009
B
West Virginia 1/6/2022
B
Minnesota 6/1/2009
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
B
Wyoming 4/22/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/26/2001 - 06/01/2009 | ORLAND PARK, IL | |
B | 09/04/1998 - 06/01/2009 | ORLAND PARK, IL | |
B | 06/28/1996 - 09/15/1998 | NEW YORK, NY | |
B | 02/29/1996 - 03/28/1996 | ||
B | 02/28/1996 - 03/28/1996 | PALM HARBOR, FL |
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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.