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.

• John James Curran

  IRN JJC00003

  • 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)
  • [FCA CF] Client dealing (since 29 Jun 2020)
  • [FCA CF] Functions requiring qualifications (since 29 Jun 2020)
• John Thomson Bache

  IRN JTB00013

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Sep 2024)
• Jonathan Christopher Smith

  IRN JCS01198

  • CF30 Customer (1 Jun 2011 to 15 Jun 2015)
• Jonathan Philip Stevenson

  IRN JXS77561

  • 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)
  • [FCA CF] Client dealing (since 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2020)
• Joseph Patrick Ferrie

  IRN JXF00011

  • CF30 Customer (1 Nov 2007 to 7 Dec 2009)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
• Kirsty Cross

  IRN KMN00005

  • CF30 Customer (21 Jun 2011 to 28 Sep 2012)
• Lesley Carol Logan

  IRN LCL00002

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
• Lisa Barnes

  IRN LXB07090

  • [FCA CF] Functions requiring qualifications (5 May 2022 to 28 Oct 2022)
  • [FCA CF] Client dealing (5 May 2022 to 28 Oct 2022)
• Mark Julian Brown

  IRN MJB00136

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Oct 2021)
  • CF30 Customer (23 Feb 2011 to 8 Dec 2019)
• Martin McArthur

  IRN MXM00257

  • CF30 Customer (12 Jan 2011 to 12 Apr 2011)

No changes recorded yet.