Barry Johnson Financial Services Limited

• Principal Place of Business

  15 Macmillan Way

  Northampton

  NN3 6FE

  UNITED KINGDOM

  Phone

  +441604879929

  Web

  https://www.johnsonfs.co.uk

• Complaints Contact

  15 Macmillan Way

  Northampton

  NN3 6FE

  UNITED KINGDOM

  Phone

  +441604879929

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Andrew Johnson

  IRN AXJ00086

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • SMF16 Compliance Oversight (since 29 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jan 2020)
  • Responsible for Insurance Distribution (since 29 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 31 Aug 2016)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • CF1 Director (4 Jan 2016 to 8 Dec 2019)
• Barry Roy Johnson

  IRN BRJ00001

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jan 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jan 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 Jan 2020)
  • CF1 Director (4 Jan 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Jan 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Jan 2016 to 30 Sep 2018)
• Jason McConkey

  IRN JXM03188

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2021)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
• Marc Dicks-Jones

  IRN MJD01336

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2021)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
• Patricia Helen Johnson

  IRN PHJ01015

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF28 Systems and controls (4 Jan 2016 to 8 Dec 2019)
  • CF1 Director (4 Jan 2016 to 8 Dec 2019)

No changes recorded yet.