Craig T. Ferguson

ANDERSON GRIGGS INVESTMENTS

Rock Hill, SC 29730

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CRD#: 1900291

Professional summary

Craig Taylor Ferguson SR, who also goes by Craig Taylor Ferguson, Craig Ferguson, is a registered financial advisor currently at ANDERSON GRIGGS INVESTMENTS located in Rock Hill, South Carolina.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Craig has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Taylor Ferguson | Craig Ferguson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Taylor Ferguson SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 6, 2020 - Present

ANDERSON GRIGGS INVESTMENTS

Office #1: 113 E. Main Street, Suite 310, Rock Hill, SC 29730

RIA

CRD#: 110313

Rock Hill, SC

Past

June 1, 2017 - June 15, 2018

DEMPSEY LORD SMITH, LLC

CRD#: 141238

ROCK HILL, SC

Past

June 5, 2013 - June 2, 2017

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

March 23, 2011 - October 9, 2012

NATIONWIDE SECURITIES, LLC

CRD#: 11173

ROCK HILL, SC

Past

July 19, 2000 - May 16, 2007

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

ROCK HILL, SC

Past

January 14, 2000 - May 16, 2007

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

ROCK HILL, SC

Past

January 24, 1989 - February 3, 2000

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ANDERSON GRIGGS INVESTMENTS

ANDERSON GRIGGS | ANDERSON GRIGGS PORTFOLIO MANAGEMENT | ANDERSON GRIGGS INVESTMENTS | ANDERSON GRIGGS & COMPANY, INC.

CRD#: 110313 / SEC#: 801-133808

RIA

Registered Investment Advisory firm - (7/3/2025 Approved)

North Carolina

Registered Investment Advisory firm - (8/5/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (7/23/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/13/2020)

IAR

South Carolina
(8/6/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/3/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/22/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/14/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/13/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

ANDERSON GRIGGS INVESTMENTS

ANDERSON GRIGGS | ANDERSON GRIGGS PORTFOLIO MANAGEMENT | ANDERSON GRIGGS INVESTMENTS | ANDERSON GRIGGS & COMPANY, INC.

CRD#: 110313 / SEC#: 801-133808

RIA

Registered Investment Advisory firm - (7/3/2025 Approved)

North Carolina

Registered Investment Advisory firm - (8/5/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (7/23/2025 Terminated)

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Contact information

Main Address

113 E. Main Street, Suite 310, Rock Hill, SC 29730

Mailing Address

Phone number

(803) 324-5044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANDERSON GRIGGS & COMPANY, INC. FIRM BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 120,345,298

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

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Craig T. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Taylor Ferguson SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEMPSEY LORD SMITH, LLC

SOUTHEAST INVESTMENTS, N.C., INC.

NATIONWIDE SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

ANDERSON GRIGGS INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2020

Series 63

Date: 5/11/2011

SIE

Date: 6/15/2018

Series 7

Date: 8/8/2017

Series 6

Date: 3/22/2011

Series 24

Date: 2/12/2018

Series 10

Date: 3/14/2000

Series 9

Date: 3/13/2000

Current Firm

ANDERSON GRIGGS INVESTMENTS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANDERSON GRIGGS INVESTMENTS

TRUST BUT VERIFY

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