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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.
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.
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Dennis Ferguson is a Bates Testifying 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.
Bates Group LLC, Testifying Expert, 2015 - Present
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., Executive Vice President, COO, Board of Directors, 1983 – 1999
JW Genesis Clearing Corp., Inc., Executive Vice President, COO, Board of Directors, 1983 – 1999
Allen & Company of Florida, Senior Vice President, Principal, and Stockholder, 1980 – 1983
Dean Witter Reynolds, Office Manager, Area Vice President, 1973 – 1980
Bachelor of Science (BS), Economics, Florida Southern College, Lakeland, FL
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
