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Decades of Leadership in Securities

W. Dennis Ferguson has dedicated his career to the securities industry, culminating in his role as Vice Chairman of Sterne Agee Clearing. Sterne Agee, a distinguished member of the New York Stock Exchange, offered top-tier securities brokerage, custody services, and investment banking to a diverse clientele. His extensive experience in clearing firm operations has earned him a in-depth understanding of the intricate nuances of financial markets.

Licenses and Certifications

Series 7 General Securities Agent

  • Series 24 General Securities Principal
  • Series 27 Financial and Operations Principal
  • Series 4 Registered Options Principal
  • Series 8 NYSE B.O.M.
  • Series 63 Uniform States Registration
  • MSRB Principal

Industry Participation

  • FINRA Board of Governors Member
  • Chairman, FINRA Regulatory Policy Committee
  • Chairman, FINRA National Adjudicatory Council
  • Chairman, SIFMA Clearing Firms Committee
  • President, Florida Securities Dealers Association
Securities Clearing Expert Witness

Compliance Experience

Since 1970, he has worked in supervisory and executive roles, spending over 30 years developing and proving introducing and clearing firm services. His expertise spans all aspects of firm operations, risk management, and regulatory compliance.

Consulting Services

With a career built on both industry leadership and regulatory service, he offers expert witness and consulting services tailored to the complexities of securities clearing. Whether you need case evaluation, regulatory insight, or expert testimony, he provides the experience and knowledge to support your needs. 

Reach Out to Me

Need expert insight on securities operations or regulatory matters? Contact me today to discuss how my experience can support your case or business.