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Kate Alexander Ferguson

LPl Financial LLC

Rock Hill, SC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-12-02
  • SC RA
    APPROVED
    Since 2021-12-02

Branch Locations

334 Oakland Ave, Rock Hill, SC 29730 • 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
Capital Investment Group, Inc. Raleigh NC 01/2016 11/2021
Capital Investment Advisory Services, Llc Raleigh NC 01/2016 11/2021
Lpl Financial Llc Rock Hill SC 12/2021 Present
Previous Registrations
Other Businesses

1)12/01/2021 - FERGUSON FINANCIAL LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 12/2021 2)12/01/2021 - NOTARY - State of SC - Inv Rel - Start: 01/2019

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-05
  • S66 Uniform Combined State Law Examination
    2010-10-05

View on SEC IAPD

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