DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• F•••••••
Feed of 09/14/2026
Also filed as Scotty Alan Ferguson
At current firm
13 y
since Oct 1, 2012
In the industry
30 y
since Jul 30, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Elkhart, In
- C•••• I••••••••• S••••••• C•••• formerApr 21, 2009 to Oct 1, 2012 · Elkhart, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 5, 2009 · Elkhart, In
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Elkhart, In
- B••• O•• S••••••••• C••••••••• unclassifiedApr 7, 2005 to Sep 27, 2006 · Eklhart, In
- W•••• F•••• I••••••••• L•• unclassifiedMay 22, 2003 to Feb 7, 2005 · Santa Fe, Nm
- C•••••• L•• independent RIAOct 17, 2002 to Jun 13, 2003 · San Antonio , Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left May 5, 2009, registered Apr 21, 2009 (-14 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to B••• O•• S••••••••• C•••••••••left Feb 7, 2005, registered Apr 7, 2005 (59 days) · Other
- C•••••• L•• to W•••• F•••• I••••••••• L••left Jun 13, 2003, registered May 22, 2003 (-22 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address