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ANDREW MICHAEL FERGUSON
Andrew Michael Ferguson
CRD#: 6399074
IA
B
OSAIC WEALTH, INC.CRD#: 23131 2800 PEOPLES ST STE 50
JOHNSON CITY, TN 37604
JOHNSON CITY, TN 37604
0
Disclosures
10
Years of Experience
View By:
State Registrations
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Georgia 6/14/2024
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Tennessee 6/14/2024
B
Kentucky 6/14/2024
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Tennessee 6/14/2024
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Maryland 6/14/2024
B
Texas 6/14/2024
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North Carolina 6/14/2024
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Texas 6/14/2024
B
South Carolina 6/14/2024
B
Virginia 6/14/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 6/14/2024
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Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/18/2020 - 06/14/2024 | JOHNSON CITY, TN | |
B | 09/18/2020 - 06/14/2024 | JOHNSON CITY, TN | |
IA | 06/17/2020 - 09/18/2020 | JOhnson City, TN | |
B | 06/01/2020 - 09/18/2020 | KNOXVILLE, TN | |
B | 10/28/2014 - 06/16/2020 | JOHNSON CITY, TN |
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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.