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Detailed Report
Scotty Ferguson
SCOTTY ALAN FERGUSON
CRD#: 2768391
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 3530 CASSOPOLIS STREET
ELKHART, IN 46514
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)1996 - 2003 (6 years)IARSM MCGLADREY, INC. (CRD# 111221)2002 - 2003 (<1 year)
License(s)

State Registrations

B
Arizona 10/1/2012
B
Minnesota 10/1/2012
B
Arkansas 7/23/2024
B
New Mexico 10/1/2012
B
California 1/9/2014
B
New York 8/13/2019
B
Connecticut 4/27/2015
B
North Carolina 2/18/2015
B
Florida 10/1/2012
B
Ohio 2/4/2013
B
Georgia 10/1/2012
B
Oregon 2/21/2018
B
Illinois 10/1/2012
B
Tennessee 7/15/2021
B
Indiana 10/1/2012
B
Texas 10/1/2012
IA
Indiana 10/1/2012
IA
Texas 9/20/2013
B
Iowa 1/24/2013
B
Wisconsin 12/6/2012
B
Michigan 10/1/2012

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
3530 CASSOPOLIS STREET, ELKHART, IN 46514
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
3530 CASSOPOLIS STREET, ELKHART, IN 46514
Registered with this firm since 10/1/2012
Previous Registration(s)
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IA
 04/21/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ELKHART, IN
B
 04/21/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ELKHART, IN
IA
 10/01/2008 - 05/05/2009 J.P.MORGAN SECURITIES INC. (CRD#:79) ELKHART, IN
B
 10/01/2008 - 05/05/2009 J.P. MORGAN SECURITIES INC. (CRD#:79) ELKHART, IN
IA
 09/27/2006 - 10/01/2008 J. P. MORGAN SECURITIES INC. (CRD#:18718) ELKHART, IN
B
 07/01/2006 - 10/01/2008 J.P. MORGAN SECURITIES INC. (CRD#:18718) ELKHART, IN
IA
 04/07/2005 - 09/27/2006 JPMORGAN SECURITIES INC (CRD#:16999) ELKHART, IN
B
 03/18/2005 - 07/01/2006 BANC ONE SECURITIES CORPORATION (CRD#:16999) ELKHART, IN
IA
 05/22/2003 - 02/07/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SANTA FE, NM
B
 05/19/2003 - 02/07/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
IA
 10/17/2002 - 06/13/2003 RSM MCGLADREY, INC. (CRD#:111221) SAN ANTONIO , TX
B
 07/22/1996 - 05/16/2003 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
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.