Ronald Noel Ferguson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-07-31
NY	RA	APPROVED	2025-07-10

TX RA
APPROVED_RES

Since 2025-07-31
NY RA
APPROVED

Since 2025-07-10

Branch Locations

Cicero, NY • United States

Del Ray Beach, FL • 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

Organization	City	State	From	To
Cadaret, Grant & Co., Inc.	Cicero	NY	07/1995	07/2025
Financial Visions Group	Del Ray Beach	FL	07/1995	Present
Lpl Financial Llc	Del Ray Beach	FL	07/2025	Present

07/1995 → 07/2025

Cadaret, Grant & Co., Inc.

Cicero, NY
07/1995 → Present

Financial Visions Group

Del Ray Beach, FL
07/2025 → Present

Lpl Financial Llc

Del Ray Beach, FL

Previous Registrations

2021-05-04 → 2025-07-10

Cadaret, Grant & Co., Inc.

Cicero, NY

Del Ray Beach, FL

Other Businesses

1 - 07/2025 - Financial Visions Group - DBA for LPL Business (entity for LPL business) - Inv Related - 200 Hours/Month - 50 Hours During Trading - At reported business location(s).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-06-29
S63	Uniform Securities Agent State Law Examination	1992-08-11

S65 Uniform Investment Adviser Law Examination

2007-06-29
S63 Uniform Securities Agent State Law Examination

1992-08-11

View on SEC IAPD