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Christopher Ferguson

Charles Schwab & CO., INC.
37 Years of Experience
Lynbrook, NY
2 DisclosuresBroker
View SEC Summary
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Christopher Ferguson is a registered investment advisor at Charles Schwab & CO., INC., based in Lynbrook, NY, with 37 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$25M+0.30%

Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Lynbrook, NY

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2010
Denied
Customer Dispute
March 2008
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Charles Schwab & CO., INC.
March 2006 - Present · 20 yrs 7 mos
Charles Schwab & CO., INC.
September 1998 - Present · 28 yrs 1 mo
Charles Schwab & CO., INC.Broker
September 1998 - Present · 28 yrs 1 mo
Previous Registrations
Quick & Reilly, INC.Broker
May 1992 - August 1998 · 6 yrs 3 mos
Olde Discount CorporationBroker
January 1992 - May 1992 · 4 mos
Prudential Securities IncorporatedBroker
May 1990 - May 1991 · 1 yr
Smith Barney, Harris Upham & CO., IncorporatedBroker
November 1989 - May 1990 · 6 mos
Hornblower Fischer & CO.Broker
October 1988 - November 1989 · 1 yr 1 mo
Dean Witter Reynolds INC.Broker
August 1988 - October 1988 · 2 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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