FRANCIS CLARK FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Centenary House

  Peninsula Park

  Rydon Lane

  Exeter

  Devon

  EX2 7XE

  UNITED KINGDOM

  Phone

  +448008321785

  Web

  https://www.fcfp.co.uk

• Complaints Contact

  Centenary House

  Peninsula Park

  Rydon Lane

  Exeter

  Devon

  EX2 7XE

  UNITED KINGDOM

  Phone

  +448008321785

• 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

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  • · 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 Advice (no pensions)

  For Commercial, Eligible Counterparty, 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

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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 Commercial, Eligible Counterparty, 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

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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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgages

• Investment Setup

  For Commercial, Eligible Counterparty, 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

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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.

• Aimee-Louise Linda Raymond

  IRN ALR01059

  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (9 Sep 2016 to 8 Dec 2019)
• Alan Turner

  IRN AXT01267

  • CF30 Customer (1 Nov 2007 to 21 Mar 2018)
  • CF8 Apportionment and Oversight (1 Dec 2005 to 31 Mar 2009)
  • CF1 Director (1 Dec 2005 to 21 Mar 2018)
  • CF21 Investment Adviser (1 Dec 2005 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2005 to 21 Mar 2018)
• Andrew Nicholas Kirk

  IRN ANK00018

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 4 May 2021)
  • [FCA CF] Client dealing (since 4 May 2021)
• Andrew Peter Welch

  IRN AXW00114

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Oct 2020)
  • CF30 Customer (29 Aug 2011 to 8 Dec 2019)
• Andrew William Newcombe

  IRN AWN00003

  • SMF1 Chief Executive (11 Aug 2022 to 12 Jan 2023)
  • SMF3 Executive Director (11 Aug 2022 to 18 Jul 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Jul 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 18 Jul 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Sep 2020)
  • Responsible for Insurance Mediation (16 Mar 2016 to 5 May 2018)
  • CF11 Money Laundering Reporting (29 Jan 2016 to 5 May 2018)
  • CF10 Compliance Oversight (29 Jan 2016 to 5 May 2018)
  • CF1 Director (6 Nov 2015 to 8 Dec 2019)
  • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
• Anne Marie Hills

  IRN AMH01266

  • CF30 Customer (20 Nov 2014 to 19 Oct 2016)
• Benjamin James Nurse

  IRN BJN01031

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Apr 2021)
  • CF30 Customer (7 Oct 2017 to 8 Dec 2019)
• Brian Matthew Harvey

  IRN BXH00004

  • SMF3 Executive Director (3 Dec 2020 to 27 Apr 2023)
• Carl John Tremlin

  IRN CJT01099

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • [FCA CF] Functions requiring qualifications (since 1 Aug 2023)
  • [FCA CF] Client dealing (since 1 Aug 2023)
• Carl Pimlott

  IRN CXP00029

  • CF30 Customer (7 Sep 2016 to 19 Dec 2017)

No changes recorded yet.