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.

• Charles Richard Wright

  IRN CRW01107

  • CF30 Customer (19 Jun 2013 to 8 Feb 2019)
• Charlotte Elise Taylor-St.Ruth

  IRN CEP01041

  • SMF3 Executive Director (since 26 Apr 2023)
• Christopher James Reah

  IRN CJR01147

  • [FCA CF] Manager of certification employee (since 12 Jan 2023)
  • SMF3 Executive Director (since 12 Jan 2023)
  • SMF1 Chief Executive (since 12 Jan 2023)
• Christopher Levi Revill

  IRN CLR01053

  • 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 8 Aug 2022)
  • [FCA CF] Client dealing (since 8 Aug 2022)
• Christopher Lewis Hicks

  IRN CLH01060

  • CF1 Director (17 Nov 2011 to 1 Apr 2015)
• Colin James Evans

  IRN CJE00008

  • Responsible for Insurance Mediation (3 Jan 2014 to 31 Jul 2015)
  • CF11 Money Laundering Reporting (3 Nov 2011 to 1 Aug 2014)
  • CF10 Compliance Oversight (3 Nov 2011 to 1 Aug 2014)
  • CF1 Director (3 Nov 2011 to 31 Jul 2015)
  • CF30 Customer (1 Sep 2011 to 14 Oct 2016)
• Daniel Marchant

  IRN DXM02320

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Functions requiring qualifications (since 4 Sep 2023)
  • [FCA CF] Client dealing (since 4 Sep 2023)
• Darren Anthony Horton

  IRN DAH01151

  • CF30 Customer (25 Sep 2012 to 3 Jun 2016)
• David Andrew Hammond

  IRN DAH01188

  • SMF1 Chief Executive (9 Dec 2019 to 11 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 11 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
  • CF3 Chief Executive (9 Apr 2018 to 8 Dec 2019)
  • CF30 Customer (15 Jun 2017 to 8 Dec 2019)
  • CF1 Director (15 Jun 2017 to 8 Dec 2019)
• David Sylvester Clifton

  IRN DSC01075

  • CF30 Customer (1 Nov 2007 to 31 May 2019)
  • CF21 Investment Adviser (12 Jun 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2005 to 12 Jun 2006)

No changes recorded yet.