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.

  • Michael Gordon Abbott

    IRN MGA01033

    • CF2 Non Executive Director (AR) (22 Oct 2004 to 1 Feb 2005)
  • Neil Wheelan

    IRN NXW01142

    • CF30 Customer (1 Nov 2007 to 22 Dec 2007)
    • CF24 Pension Transfer Specialist (31 Jan 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (22 Nov 2004 to 31 Oct 2007)
  • Peter Edward James Le Beau

    IRN PEL01027

    • CF2 Non Executive Director (AR) (12 Feb 2004 to 1 Feb 2005)
  • Robert Alexander Wallace

    IRN RAW00007

    • CF30 Customer (1 Nov 2007 to 30 Dec 2008)
    • CF1 Director (1 Dec 2001 to 1 Jun 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Simon Rounce

    IRN SXR02606

    • 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
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 13 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 13 Oct 2021)
  • Stephen Keith Rowntree

    IRN SKR01032

    • 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)
    • SMF3 Executive Director (since 13 Sep 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
  • Suzanne Katharine Gray

    IRN SKG01040

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • SMF16 Compliance Oversight (since 15 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (28 Aug 2018 to 8 Dec 2019)
    • CF1 Director (AR) (16 Feb 2015 to 16 Jul 2018)
    • CF30 Customer (13 Aug 2008 to 8 Dec 2019)
  • Timothy James Poyser

    IRN TJP01109

    • CF30 Customer (1 Nov 2007 to 10 Mar 2008)
    • CF21 Investment Adviser (12 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (4 Aug 2006 to 12 Feb 2007)
  • William Stanley Bleasdale

    IRN WXB10110

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jul 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Jul 2023)
    • CF30 Customer (10 Jan 2019 to 8 Dec 2019)
  • William Storrie

    IRN WXS00045

    • CF21 Investment Adviser (27 Jan 2003 to 15 Feb 2003)
    • CF22 Investment Adviser (Trainee) (10 Jan 2002 to 27 Jan 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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