Johnston Financial Limited

Date authorised
1 April 2013
Companies House
SC108188
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Amber River Johnston Financial
    5 Lochside Way
    Edinburgh
    EH12 9DT
    UNITED KINGDOM
    Phone
    +4401315564540
    Web
    https://www.amberriver.com/jf

  • Complaints Contact

    Amber River Johnston Financial
    5 Lochside Way
    Edinburgh
    EH12 9DT
    UNITED KINGDOM
    Phone
    +4401315564540

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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.

  • Equity Release Advice

    For Customer, Home reversion plans

  • 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
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Equity Release Arranging

    For Customer, Home reversion plans

  • 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
    • · 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

  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Credit Brokering

  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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
    • · 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.

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Equity Release Setup

    For Customer, Home reversion plans

  • 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
    • · 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.

  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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
    • · 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.

  • Credit Score Services

    Show 1 limitation
    • · Limited to the provision of credit information services with no credit repair (as defined by 89A(3)(c) & (d) Regulated Activities order).

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • . Johnston Financial Limited

    IRN XXJ01016

    • SMF27 Partner (9 Dec 2019 to 15 Sep 2021)
    • CF4 Partner (28 Mar 2007 to 8 Dec 2019)
  • Adrian Michael Johnston

    IRN AMJ00001

    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Dec 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Dec 2020)
    • Responsibility for MCD Intermediation (23 Aug 2016 to 16 Jul 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Oct 2007 to 16 Jul 2018)
    • CF4 Partner (AR) (7 Feb 2007 to 5 Mar 2010)
    • CF1 Director (AR) (16 Jul 2004 to 16 Jul 2018)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 16 Jul 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Alexander William Molyneux

    IRN AXM00880

    • 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
    • [FCA CF] Functions requiring qualifications (since 20 Jan 2025)
    • [FCA CF] Client dealing (since 20 Jan 2025)
  • Arthur Sidney Bailey

    IRN ASB00043

    • CF21 Investment Adviser (1 Dec 2001 to 21 Feb 2002)
  • Brian Smith

    IRN BXS00004

    • CF1 Director (1 Dec 2001 to 8 Nov 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)
  • Cameron Ewan McCallum

    IRN CXM00189

    • [FCA CF] Client dealing (23 Dec 2020 to 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (23 Dec 2020 to 31 Mar 2021)
  • Caroline Johnston

    IRN CXJ00002

    • CF4 Partner (AR) (8 Feb 2007 to 5 Mar 2010)
    • CF1 Director (1 Dec 2001 to 31 Dec 2010)
  • Clare Ramsay Giles

    IRN CRG00001

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 3 Mar 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Mar 2022)
    • CF30 Customer (1 Nov 2007 to 28 Feb 2022)
    • CF1 Director (AR) (16 Sep 2002 to 28 Feb 2022)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Colin Fraser McCallum

    IRN CFM01037

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (26 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Feb 2006 to 26 Jul 2007)
  • Colin Mark Kerr

    IRN CMK01034

    • CF21 Investment Adviser (29 Jul 2004 to 30 Sep 2004)
    • CF22 Investment Adviser (Trainee) (6 May 2003 to 29 Jul 2004)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.