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David James Ferguson

Independent Financial Group, LLC

San Diego, CA

Loveland, CO

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Current Employers
Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-07-20
  • CO RA
    APPROVED
    Since 2023-07-20

Branch Locations

12671 High Bluff Drive Suite 200, San Diego, CA 92130 • UNITED STATES

Loveland, CO • 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
Arque Capital, Ltd. Rolling Hills Estates CA 05/2007 06/2023
Arque & Co. Incorporated Rolling Hills Estates CA 05/2007 06/2023
Independent Financial Group, Llc Loveland CO 07/2023 Present
  • 05/2007 → 06/2023
    Arque Capital, Ltd.
    Rolling Hills Estates, CA
  • 05/2007 → 06/2023
    Arque & Co. Incorporated
    Rolling Hills Estates, CA
  • 07/2023 → Present
    Independent Financial Group, Llc
    Loveland, CO
Previous Registrations
  • 2009-08-06 → 2023-06-16
    Arque Capital, Ltd.
    Glendale, CA
    Glendale, CA
    Glendale, CA
    Scottsdale, AZ
    Sunland, CA
    Loveland, CO
  • 2007-05-14 → 2011-03-16
    Arque & Co Incororated
    Torrance, CA
  • 2006-06-01 → 2007-05-17
    Wedbush Securities Inc.
    Gilroy, CA
    Glendale, CA
    Auburn, CA
    Bakersfield, CA
    Chico, CA
    Stockton, CA
    Greeley, CO
    Bend, OR
    Del Mar, CA
    Manhattan Beach, CA
    Los Angeles, CA
    Woodland Hills, CA
    Los Angeles, CA
    Scottsdale, AZ
    American Fork, UT
    Beverly Hills, CA
    Redlands, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-10
S63 Uniform Securities Agent State Law Examination 1986-07-11
  • S65 Uniform Investment Adviser Law Examination
    2001-09-10
  • S63 Uniform Securities Agent State Law Examination
    1986-07-11

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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