RIVERPARK INVESTMENT & FINANCIAL CONSULTANTS LTD.

• Principal Place of Business

  Riverpark Investments

  4 Rogart Street

  Glasgow

  Glasgow City

  G40 2AA

  UNITED KINGDOM

  Phone

  +441415543881

  Web

  https://www.riverparkifa.com

• Complaints Contact

  Riverpark Investments

  4 Rogart Street

  Glasgow

  Glasgow City

  G40 2AA

  UNITED KINGDOM

  Phone

  +441415543881

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For 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

  Show 2 limitations Hide limitations

  • · 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 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.

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For 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.

• Evan Robertson Dunn

  IRN EXD00221

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2024)
• Gerard Campbell

  IRN GXC00037

  • CF21 Investment Adviser (9 Oct 2006 to 12 Mar 2007)
• Gerard Thomas Cannon

  IRN GTC00007

  • CF30 Customer (30 Mar 2010 to 19 May 2011)
• Graham Thomson

  IRN GXT00006

  • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
  • Responsible for Insurance Mediation (9 Oct 2006 to 31 Oct 2009)
  • CF8 Apportionment and Oversight (9 Oct 2006 to 31 Mar 2009)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (9 Oct 2006 to 31 Oct 2009)
  • CF10 Compliance Oversight (9 Oct 2006 to 31 Oct 2009)
  • CF1 Director (9 Oct 2006 to 31 Oct 2009)
• Hugh Maguire Thomson

  IRN HMT01014

  • CF21 Investment Adviser (9 Oct 2006 to 1 Nov 2007)
• Iain Johnstone

  IRN IXJ00032

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Aug 2024)
• Iain Ross McDonald

  IRN IRM00009

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
• James Douglas

  IRN JXD00083

  • CF21 Investment Adviser (9 Oct 2006 to 26 Mar 2007)
• James Gettie

  IRN JXG00098

  • CF30 Customer (22 Sep 2008 to 13 Dec 2012)
• John David McKendrick

  IRN JDM00043

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Jan 2024)
  • CF30 Customer (1 Oct 2014 to 8 Dec 2019)

No changes recorded yet.