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Roger Walton Ferguson

Awm Capital, LLC

Pasadena, CA

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Current Employers
Awm Capital, Llc

1 N. 1St Street Suite 525, Phoenix, AZ 85004 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-10
TX RA APPROVED 2025-10-10
  • CA RA
    APPROVED
    Since 2025-10-10
  • TX RA
    APPROVED
    Since 2025-10-10

Branch Locations

87 E. Green Street Suite 206, Pasadena, CA 91105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Goldman Sachs Los Angeles CA 07/2021 10/2022
Usc Marshall School Of Business Los Angeles CA 07/2019 05/2021
Tda_Boulder Boulder CO 01/2016 06/2019
Incluso Capital, Llc Santa Monica CA 01/2023 07/2025
Awm Capital, Llc Pasadena CA 07/2025 Present
  • 07/2021 → 10/2022
    Goldman Sachs
    Los Angeles, CA
  • 07/2019 → 05/2021
    Usc Marshall School Of Business
    Los Angeles, CA
  • 01/2016 → 06/2019
    Tda_Boulder
    Boulder, CO
  • 01/2023 → 07/2025
    Incluso Capital, Llc
    Santa Monica, CA
  • 07/2025 → Present
    Awm Capital, Llc
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-10-08
S63 Uniform Securities Agent State Law Examination 2021-10-07
  • S65 Uniform Investment Adviser Law Examination
    2025-10-08
  • S63 Uniform Securities Agent State Law Examination
    2021-10-07
Other Names
  • Roger Walton Ferguson

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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