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ELMER Richard FERGUSON
ELMER RICHARD FERGUSON, ELMER FERGUSON, RICK FERGUSON
CRD#: 4249474
IA
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ONEDIGITAL INVESTMENT ADVISORSCRD#: 106766 1450 Maria Lane
SUITE 400
Walnut Creek, CA 94596
SUITE 400
Walnut Creek, CA 94596
0
Disclosures
24
Years of Experience
View By:
State Registrations
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California 2/15/2019
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Registered with this firm since 2/15/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/19/2019 - 12/31/2019 | Lafayette, CA | |
IA | 09/02/2015 - 03/13/2019 | San Francisco, CA | |
B | 09/02/2015 - 03/13/2019 | San Francisco, CA | |
IA | 03/28/2013 - 07/19/2018 | SAN DIEGO, CA | |
B | 04/10/2007 - 07/19/2018 | SAN DIEGO, CA | |
IA | 12/05/2014 - 10/07/2015 | San Francisco, CA | |
B | 12/05/2014 - 10/07/2015 | San Francisco, CA | |
B | 05/03/2013 - 02/07/2014 | OMAHA, NE | |
IA | 04/22/2004 - 03/14/2007 | SAN DIEGO, CA | |
B | 10/30/2001 - 03/14/2007 | SAN DIEGO, CA | |
B | 11/01/2000 - 10/15/2001 | OMAHA, NE |
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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.
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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.