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KATE ALEXANDER FERGUSON
CRD#: 5600734
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 334 OAKLAND AVE
ROCK HILL, SC 29730
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2014 (<1 year)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2016 - 2021 (5 years)2 FIRMS2021 - Present (3 years)BSUNAMERICA CAPITAL SERVICES, INC. (CRD# 13158)2013 - 2013 (<1 year)BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2009 - 2013 (3 years)IAWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2010 - 2013 (2 years)
License(s)

State Registrations

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South Carolina 12/2/2021

IA
South Carolina 12/2/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
334 OAKLAND AVE, ROCK HILL, SC 29730
Registered with this firm since 12/2/2021

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LPL FINANCIAL LLC (CRD#:6413)
334 OAKLAND AVE, ROCK HILL, SC 29730
Registered with this firm since 12/2/2021

Previous Registration(s)
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IA
01/29/2016 - 12/10/2021 CAPITAL INVESTMENT ADVISORY SERVICES, LLC (CRD#:149124) ROCK HILL, SC
B
01/28/2016 - 12/10/2021 CAPITAL INVESTMENT GROUP, INC. (CRD#:14752) ROCK HILL, SC
IA
06/04/2015 - 12/03/2015 LPL FINANCIAL LLC (CRD#:6413) NASHVILLE, TN
B
06/08/2015 - 12/03/2015 LPL FINANCIAL LLC (CRD#:6413) NASHVILLE, TN
IA
11/04/2013 - 05/14/2014 CURIAN CAPITAL, LLC (CRD#:120270) FRANKLIN, TN
B
10/28/2013 - 05/14/2014 JACKSON NATIONAL LIFE DISTRIBUTORS LLC (CRD#:40178) FRANKLIN, TN
B
02/25/2013 - 10/14/2013 SUNAMERICA CAPITAL SERVICES, INC. (CRD#:13158) WOODLAND HILLS, CA
IA
10/06/2010 - 02/01/2013 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PAWLEY'S ISLAND, SC
B
10/26/2009 - 02/01/2013 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PAWLEY'S ISLAND, SC
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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.