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120 N Candler St #2, Decatur, GA 30030 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-02-01 |
| LA | RA | APPROVED | 2019-12-20 |
| GA | RA | APPROVED | 2018-08-01 |
| TX | RA | APPROVED_RES | 2018-07-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 03/2001 | 07/2018 |
| Ferguson Shapiro Llc | Decatur | GA | 07/2018 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
1) Ferguson Shapiro LLC. Investment related, At Registered Location. Registered Investment Advisor, Principal. Start 8/2018. 140hrs/mo, 6hrs during trading hours. Principal of firm 2) Kevin Ferguson, LLC. Not Investment Related. At Registered Location. Owner. Pass through for business expenses. Start 2/2020. 5 hours per month, not during trading. Entity to handle business expenses and payroll for staff. 3) Fixed Insurance. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start date: 09/2018. 4 hrs/month all during trading hours. Sales of fixed / traditional insurance products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-28 |
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