Individual Firm
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JAMES GUY FERGUSON
CRD#: 6078346
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 21550 OXNARD STREET
SUITE 420
WOODLAND HILLS, CA 91367
SUITE 420
WOODLAND HILLS, CA 91367
View By:
4/21/2023
Regulatory
Final
State Registrations
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Alabama 2/25/2025
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Montana 2/15/2022
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Alabama 2/25/2025
B
Nebraska 1/25/2024
B
Alaska 1/19/2023
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Nebraska 1/26/2024
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Alaska 2/15/2023
B
Nevada 2/11/2022
B
Arizona 9/25/2018
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Nevada 2/23/2022
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Arizona 9/28/2018
B
New Hampshire 1/19/2023
B
Arkansas 1/19/2023
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New Hampshire 1/25/2023
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Arkansas 1/30/2023
B
New Mexico 8/11/2022
B
California 2/11/2022
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New Mexico 8/12/2022
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California 2/14/2022
B
New York 1/19/2023
B
Colorado 2/11/2022
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New York 8/29/2024
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Colorado 2/14/2022
B
North Carolina 2/11/2022
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District of Columbia 10/24/2023
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North Carolina 2/14/2022
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District of Columbia 12/19/2023
B
North Dakota 2/11/2022
B
Florida 2/11/2022
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North Dakota 2/22/2022
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Florida 2/14/2022
B
Ohio 2/14/2022
B
Georgia 1/19/2023
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Ohio 2/14/2022
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Georgia 1/23/2023
B
Oklahoma 1/19/2023
B
Hawaii 2/11/2022
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Oklahoma 1/24/2023
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Hawaii 2/14/2022
B
Oregon 9/25/2018
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Idaho 12/18/2015
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Oregon 9/25/2018
B
Idaho 12/21/2015
B
Pennsylvania 2/11/2022
B
Illinois 1/19/2023
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Pennsylvania 2/14/2022
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Illinois 1/20/2023
B
Rhode Island 2/11/2022
B
Indiana 1/19/2023
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Rhode Island 2/21/2022
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Indiana 1/26/2024
B
South Carolina 1/19/2023
B
Kansas 1/19/2023
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South Carolina 2/7/2023
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Kansas 1/19/2023
B
South Dakota 2/11/2022
B
Kentucky 2/11/2022
IA
South Dakota 2/14/2022
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Kentucky 2/14/2022
B
Tennessee 1/19/2023
B
Louisiana 2/11/2022
B
Texas 2/11/2022
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Louisiana 2/14/2022
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Texas 2/12/2022
B
Maryland 2/11/2022
B
Utah 8/23/2016
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Maryland 2/14/2022
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Utah 1/24/2023
B
Massachusetts 2/11/2022
B
Virginia 2/11/2022
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Massachusetts 3/24/2022
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Virginia 2/14/2022
B
Michigan 1/19/2023
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Washington 4/2/2020
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Michigan 1/23/2023
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Washington 1/19/2023
B
Minnesota 2/11/2022
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Wisconsin 1/19/2023
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Minnesota 2/14/2022
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Wisconsin 1/19/2023
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Montana 2/11/2022
B
Wyoming 1/19/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 12/18/2015
B
Registered with this firm since 12/21/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2012 - 12/22/2015 | MERIDIAN, ID | |
B | 07/26/2012 - 12/22/2015 | MERIDIAN, ID |
For additional information about investment advisers or broker-dealers, please visit
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.