Wright, Johnston & MacKenzie LLP

• Principal Place of Business

  St Vincent Plaza

  319 St. Vincent Street

  Glasgow

  Lanarkshire

  G2 5RZ

  UNITED KINGDOM

  Phone

  +4401412483434

  Web

  https://www.wjm.co.uk

• Complaints Contact

  St Vincent Plaza

  319 St. Vincent Street

  Glasgow

  Lanarkshire

  G2 5RZ

  UNITED KINGDOM

  Phone

  +4401412483434

• Investment Advice (no pensions)

  For 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

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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.

• 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 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

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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.

• 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

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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.

• Investment Setup

  For 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

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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.

• Holds Your Assets

  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

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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.

• Robert Wilson

  IRN RXW01289

  • CF30 Customer (1 Nov 2007 to 1 Apr 2009)
  • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
• Ronald McLean Nicolson

  IRN RMN00007

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (10 Jan 2012 to 8 Dec 2019)
• Rosina Marie Dolan

  IRN RMD01058

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (26 Jun 2017 to 8 Dec 2019)
  • CF4 Partner (26 Jun 2017 to 8 Dec 2019)
• STEVEN MCBURNIE

  IRN SXM04576

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2024)
• Scott Robertson Lockhart

  IRN SRL01053

  • CF30 Customer (16 Dec 2010 to 31 Dec 2012)
• Steven John Docherty

  IRN SJD01291

  • CF11 Money Laundering Reporting (1 Apr 2010 to 1 May 2013)
  • CF4 Partner (1 Apr 2010 to 1 Apr 2019)
• Victoria Ann Provan

  IRN VAP01037

  • CF4 Partner (1 May 2013 to 1 Apr 2019)
  • CF11 Money Laundering Reporting (1 May 2013 to 1 Apr 2019)
• William Grant Johnston

  IRN WGJ00003

  • 16. Safeguarding and administering investments or holding client money
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] CASS oversight function (since 9 Dec 2020)
  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (9 Dec 2020 to 12 Jul 2023)
  • [FCA CF] Material risk taker (9 Dec 2020 to 12 Jul 2023)
  • [FCA CF] Benchmark submission and administration (9 Dec 2020 to 12 Jul 2023)
  • [FCA CF] Significant management (9 Dec 2020 to 12 Jul 2023)
  • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2020 to 12 Jul 2023)
  • [PRA CF] Key function holder (9 Dec 2020 to 12 Jul 2023)
  • CF10 Compliance Oversight (13 Jun 2019 to 8 Dec 2019)
  • CF10a CASS Oversight function (13 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (11 Apr 2012 to 8 Dec 2019)
  • CF4 Partner (11 Apr 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 Oct 2008 to 1 Apr 2010)

No changes recorded yet.