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Nicholas James Ferguson
Nicholas Ferguson, Nick Ferguson
CRD#: 7029311
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 97 MT. AUBURN STREET
CAMBRIDGE, MA 02138
Registration History
2018201920202021202220232024202520262 FIRMS2020 - 2024 (4 years)2 FIRMS2024 - Present (<1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2018 - 2019 (1 year)
License(s)

State Registrations

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Alabama 8/9/2024

B
Missouri 8/9/2024

B
Alaska 8/9/2024

B
Montana 8/9/2024

B
Arizona 8/9/2024

B
Nebraska 8/9/2024

B
Arkansas 8/9/2024

B
Nevada 8/9/2024

B
California 8/9/2024

B
New Hampshire 8/9/2024

B
Colorado 8/9/2024

B
New Jersey 8/9/2024

B
Connecticut 8/9/2024

B
New Mexico 8/9/2024

B
Delaware 8/9/2024

B
New York 8/9/2024

B
District of Columbia 8/9/2024

B
North Carolina 8/9/2024

B
Florida 8/9/2024

B
North Dakota 8/9/2024

B
Georgia 8/9/2024

B
Ohio 8/9/2024

B
Hawaii 8/9/2024

B
Oklahoma 8/9/2024

B
Idaho 8/9/2024

B
Oregon 8/9/2024

B
Illinois 8/9/2024

B
Pennsylvania 8/9/2024

B
Indiana 8/9/2024

B
Rhode Island 8/9/2024

B
Iowa 8/9/2024

B
South Carolina 8/9/2024

B
Kansas 8/9/2024

B
South Dakota 8/9/2024

B
Kentucky 8/9/2024

B
Tennessee 8/9/2024

B
Louisiana 8/9/2024

B
Texas 8/9/2024

B
Maine 8/9/2024

B
Utah 8/9/2024

B
Maryland 8/9/2024

B
Vermont 8/9/2024

B
Massachusetts 8/9/2024

B
Virginia 8/9/2024

IA
Massachusetts 8/13/2024

B
Washington 8/9/2024

B
Michigan 8/9/2024

B
West Virginia 8/9/2024

B
Minnesota 8/9/2024

B
Wisconsin 8/9/2024

B
Mississippi 8/9/2024

B
Wyoming 8/9/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
97 MT. AUBURN STREET, CAMBRIDGE, MA 02138
Boston, MA
Registered with this firm since 8/13/2024

B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
97 MT. AUBURN STREET, CAMBRIDGE, MA 02138
Boston, MA
Registered with this firm since 8/9/2024

Previous Registration(s)
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IA
01/24/2020 - 07/26/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
01/14/2020 - 07/26/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
12/13/2018 - 12/04/2019 NYLIFE SECURITIES LLC (CRD#:5167) WALTHAM, MA
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B
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.