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Lindsey Ferguson

Newedge Advisors
36 Years of Experience
Greenwich, CT
2 DisclosuresBroker
View SEC Summary
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Lindsey Ferguson is a registered investment advisor at Newedge Advisors, based in Greenwich, CT, with 36 years of industry experience. Lindsey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 49,898 clients with $43B in assets under management.

Newedge Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
605 advisors
Number of Clients
49,898 clients
Average Client Portfolio
$866K average
Assets Under Management
$43.2B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.25%
$1.0M - $2.0M2.00%
$2M+1.75%

Schedule reflects the primary Equity and Balanced Advisors Choice program. The firm imposes a maximum annual fee of 1.75% for new accounts opened after December 31, 2025, though older accounts may have rates up to 2.50%. Additional program schedules exist for fixed income, mutual fund strategies, and third-party manager programs. Fees are negotiable.

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

Location

500 West Putnam Avenue, Ste 400, Greenwich, CT, 06830

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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
January 1997
Settled
Investigation
September 1995
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lindsey works as a registered representative providing commission-based securities services, dedicating about 10-20% of her time. She also works as an investment advisor representative providing investment advisory services and advice full-time, and assists with business development and capital raise for Campus Cover Pro Services a few hours per week.

Employment History
Current Registrations
Newedge Securities, LLCBroker
September 2021 - Present · 5 yrs 1 mo
Newedge Advisors
September 2021 - Present · 5 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
June 2015 - October 2021 · 6 yrs 4 mos
Wells Fargo Clearing Services, LLC
June 2015 - October 2021 · 6 yrs 4 mos
J.P. Morgan Securities LLC
October 2012 - June 2015 · 2 yrs 8 mos
J.P. Morgan Securities LLCBroker
October 2012 - June 2015 · 2 yrs 8 mos
Chase Investment Services CORP.
January 2001 - October 2012 · 11 yrs 9 mos
Chase Investment Services CORP.Broker
June 1999 - October 2012 · 13 yrs 4 mos
Citicorp Investment ServicesBroker
April 1994 - July 1999 · 5 yrs 3 mos
Tucker Anthony IncorporatedBroker
July 1992 - April 1994 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1989 - July 1992 · 2 yrs 8 mos
State Registrations8 states
CACOCTFLGAMONJNY
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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