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W. Dennis Ferguson

W. Dennis Ferguson

Dennis Ferguson is a Bates Affiliate Expert with over 40 years of experience in the securities industry, including retail sales, operations/clearing, branch office supervision and management, regional sales management and broker-dealer enterprise governance. Mr. Ferguson has an in-depth knowledge of securities clearance and trade processing and also extensive experience with regulatory oversight through years of industry service on the regional and national committee level. Additionally, Mr. Ferguson has served on the NASD/FINRA board of governors.

Dennis is a consultant and subject matter expert in these Practice Areas and Services:



Sterne Agee Clearing, Inc.President, Vice Chairman Board of Directors, 2001-2014

Fiserv Correspondent Services, Inc., Executive Vice President, Member Executive Committee, 1999-2001

JW Genesis Financial Corp., Inc.JW Genesis Clearing Corp., Inc. Executive Vice President, COO, Board of Directors, 1983-1999

llen & Company of FloridaSenior Vice President, Principal, and Stockholder, 1980-198

Dean Witter ReynoldsOffice Manager, Area Vice President, 1973-1980


Florida Southern College, Lakeland, FL, B.S., Economics


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

Registered Options Principal

Certified Financial Planner (CFP)


Chairman, FINRA Regulatory Policy Committee of Board of Governors (2014 - 2015)

Member, FINRA Board of Governors (2006 – July 2015)

Chairman, FINRA National Adjudicatory Council (2007-2008)

FINRA National Adjudicatory Council (2005-2008)

Member, FINRA Financial Responsibility Committee (current)

Member, FINRA Uniform Practice Committee (current)

Board Member, Securities Dealers Risk Purchasing Group, Inc. (1998)

Securities Industry Association Clearing Firms Committee (current)(Chairman 1996)

Member, NASD National Membership Committee (1996)

Chairman, NASD District 7 Committee (1995)

Member, NASD Board of Governors Advisory Council (1995)

President, Board of Governors, Florida Securities Dealers Association (1995)

Chairman, Securities Industry Association Membership Committee (1994)

Charter Member, Gold Coast Financial Planners Association

Associate Member, Independent Bankers of America

NASD District 7 Committee (1992-1995)

Member, Florida Council on Economic Education

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.