Craig Ferguson

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Leven Wealth Management Limited

    FRN 764713

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 16 Feb 2017)
    • CF10 Compliance Oversight (16 Feb 2017 to 8 Dec 2019)
    • CF1 Director (16 Feb 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Feb 2017 to 8 Dec 2019)
    • CF30 Customer (16 Feb 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Feb 2017 to 30 Sep 2018)
  • Ardmore Financial Planning Limited (no longer approved here)

    FRN 589721

    • Responsibility for MCD Intermediation (21 Mar 2016 to 17 Feb 2017)
    • CF30 Customer (2 Jan 2013 to 17 Feb 2017)
    • CF11 Money Laundering Reporting (2 Jan 2013 to 17 Feb 2017)
    • CF1 Director (2 Jan 2013 to 17 Feb 2017)
  • EXECUTIVE BENEFIT SERVICES (U.K.) LIMITED (no longer approved here)

    FRN 134459

    • CF30 Customer (11 Jan 2008 to 31 Aug 2009)
  • Strathleven Financial Management Ltd (no longer approved here)

    FRN 195441

    • Employed By (8 Sep 2003 to 17 Aug 2004)
  • RAVENSTONE FINANCIAL MANAGEMENT LTD. (no longer approved here)

    FRN 207506

    • CF21 Investment Adviser (9 May 2002 to 11 Aug 2003)

Recent activity

Updates to this individual's record on the FCA register.

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