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Detailed Report
JAMES GUY FERGUSON
CRD#: 6078346
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 21550 OXNARD STREET
SUITE 420
WOODLAND HILLS, CA 91367
Registration History
201220142016201820202022202420262 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - Present (9 years)
Disclosure(s)
View By:
4/21/2023
Regulatory
Final
License(s)

State Registrations

B
Alabama 2/25/2025
IA
Montana 2/15/2022
IA
Alabama 2/25/2025
B
Nebraska 1/25/2024
B
Alaska 1/19/2023
IA
Nebraska 1/26/2024
IA
Alaska 2/15/2023
B
Nevada 2/11/2022
B
Arizona 9/25/2018
IA
Nevada 2/23/2022
IA
Arizona 9/28/2018
B
New Hampshire 1/19/2023
B
Arkansas 1/19/2023
IA
New Hampshire 1/25/2023
IA
Arkansas 1/30/2023
B
New Mexico 8/11/2022
B
California 2/11/2022
IA
New Mexico 8/12/2022
IA
California 2/14/2022
B
New York 1/19/2023
B
Colorado 2/11/2022
IA
New York 8/29/2024
IA
Colorado 2/14/2022
B
North Carolina 2/11/2022
B
District of Columbia 10/24/2023
IA
North Carolina 2/14/2022
IA
District of Columbia 12/19/2023
B
North Dakota 2/11/2022
B
Florida 2/11/2022
IA
North Dakota 2/22/2022
IA
Florida 2/14/2022
B
Ohio 2/14/2022
B
Georgia 1/19/2023
IA
Ohio 2/14/2022
IA
Georgia 1/23/2023
B
Oklahoma 1/19/2023
B
Hawaii 2/11/2022
IA
Oklahoma 1/24/2023
IA
Hawaii 2/14/2022
B
Oregon 9/25/2018
IA
Idaho 12/18/2015
IA
Oregon 9/25/2018
B
Idaho 12/21/2015
B
Pennsylvania 2/11/2022
B
Illinois 1/19/2023
IA
Pennsylvania 2/14/2022
IA
Illinois 1/20/2023
B
Rhode Island 2/11/2022
B
Indiana 1/19/2023
IA
Rhode Island 2/21/2022
IA
Indiana 1/26/2024
B
South Carolina 1/19/2023
B
Kansas 1/19/2023
IA
South Carolina 2/7/2023
IA
Kansas 1/19/2023
B
South Dakota 2/11/2022
B
Kentucky 2/11/2022
IA
South Dakota 2/14/2022
IA
Kentucky 2/14/2022
B
Tennessee 1/19/2023
B
Louisiana 2/11/2022
B
Texas 2/11/2022
IA
Louisiana 2/14/2022
IA
Texas 2/12/2022
B
Maryland 2/11/2022
B
Utah 8/23/2016
IA
Maryland 2/14/2022
IA
Utah 1/24/2023
B
Massachusetts 2/11/2022
B
Virginia 2/11/2022
IA
Massachusetts 3/24/2022
IA
Virginia 2/14/2022
B
Michigan 1/19/2023
B
Washington 4/2/2020
IA
Michigan 1/23/2023
IA
Washington 1/19/2023
B
Minnesota 2/11/2022
B
Wisconsin 1/19/2023
IA
Minnesota 2/14/2022
IA
Wisconsin 1/19/2023
B
Montana 2/11/2022
B
Wyoming 1/19/2023

SRO Registrations

B
 FINRA

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
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
21550 OXNARD STREET SUITE 420, WOODLAND HILLS, CA 91367
9053 SOQUEL DRIVE SUITE 203-B, APTOS, CA 95003
Registered with this firm since 12/18/2015
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
21550 OXNARD STREET SUITE 420, WOODLAND HILLS, CA 91367
9053 SOQUEL DRIVE SUITE 203-B, APTOS, CA 95003
Registered with this firm since 12/21/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/15/2012 - 12/22/2015 EDWARD JONES (CRD#:250) MERIDIAN, ID
B
 07/26/2012 - 12/22/2015 EDWARD JONES (CRD#:250) MERIDIAN, ID
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.