Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ELMER Richard FERGUSON
ELMER RICHARD FERGUSON, ELMER FERGUSON, RICK FERGUSON
CRD#: 4249474
IA
Investment Adviser
B
Previous Broker
ONEDIGITAL INVESTMENT ADVISORSCRD#: 106766 1450 Maria Lane
SUITE 400
Walnut Creek, CA 94596
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - 2019 (3 years)IAONEDIGITAL INVESTMENT ADVISORS (CRD# 106766)2019 - Present (6 years)BTRIAD ADVISORS LLC (CRD# 25803)2019 - 2019 (<1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2007 - 2018 (11 years)BSPECTRUM CAPITAL, LLC (CRD# 28303)2013 - 2014 (<1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2001 - 2007 (5 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2000 - 2001 (<1 year)IASAGEPOINT FINANCIAL, INC. (CRD# 133763)2013 - 2018 (5 years)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2004 - 2007 (2 years)
License(s)

State Registrations

IA
California 2/15/2019
Current Registration(s)
IA
ONEDIGITAL INVESTMENT ADVISORS (CRD#:106766)
1450 Maria Lane SUITE 400, Walnut Creek, CA 94596
Registered with this firm since 2/15/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/19/2019 - 12/31/2019 TRIAD ADVISORS LLC (CRD#:25803) Lafayette, CA
IA
 09/02/2015 - 03/13/2019 MMA SECURITIES LLC (CRD#:44254) San Francisco, CA
B
 09/02/2015 - 03/13/2019 MMA SECURITIES LLC (CRD#:44254) San Francisco, CA
IA
 03/28/2013 - 07/19/2018 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SAN DIEGO, CA
B
 04/10/2007 - 07/19/2018 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SAN DIEGO, CA
IA
 12/05/2014 - 10/07/2015 MMC SECURITIES CORP. (CRD#:103846) San Francisco, CA
B
 12/05/2014 - 10/07/2015 MMC SECURITIES CORP. (CRD#:103846) San Francisco, CA
B
 05/03/2013 - 02/07/2014 SPECTRUM CAPITAL, LLC (CRD#:28303) OMAHA, NE
IA
 04/22/2004 - 03/14/2007 PARK AVENUE SECURITIES LLC (CRD#:46173) SAN DIEGO, CA
B
 10/30/2001 - 03/14/2007 PARK AVENUE SECURITIES LLC (CRD#:46173) SAN DIEGO, CA
B
 11/01/2000 - 10/15/2001 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
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.