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.

• Fiona Jayne Morrison

  IRN FJM01094

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Oct 2016 to 8 Dec 2019)
• Gary Paul Quick

  IRN GXQ01017

  • SMF3 Executive Director (9 Dec 2019 to 15 Sep 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2022)
  • CF1 Director (4 Oct 2012 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2011 to 8 Dec 2019)
• Ian David Townsend

  IRN IDT01016

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (29 Aug 2011 to 8 Dec 2019)
• James Andrew Phillips

  IRN JAP01177

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 26 Apr 2023)
  • [FCA CF] Manager of certification employee (since 2 Jan 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Jul 2018 to 8 Dec 2019)
• Jennifer Pedley

  IRN JXC33449

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 1 Sep 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Jan 2020)
• John Peter Mitchell

  IRN JPM01192

  • CF1 Director (22 Feb 2011 to 19 Oct 2011)
  • CF2 Non Executive Director (20 Nov 2008 to 6 Jan 2011)
• Johnathan Roy Waring

  IRN JRW01297

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2023)
  • CF30 Customer (3 Jul 2019 to 8 Dec 2019)
• Jonathan Leonard Endacott

  IRN JLE01016

  • CF11 Money Laundering Reporting (29 Dec 2010 to 4 Nov 2011)
  • CF30 Customer (1 Nov 2007 to 13 Dec 2012)
  • CF24 Pension Transfer Specialist (1 Dec 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2005 to 31 Oct 2007)
  • Responsible for Insurance Mediation (1 Dec 2005 to 13 Dec 2012)
  • CF10 Compliance Oversight (1 Dec 2005 to 4 Nov 2011)
  • CF1 Director (1 Dec 2005 to 1 Apr 2015)
• Kathryn Sarah Stephen

  IRN KSS01086

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 24 Oct 2022)
  • [FCA CF] Client dealing (since 24 Oct 2022)
• Kevin Stoyle

  IRN KXS00210

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (31 Aug 2011 to 8 Dec 2019)

No changes recorded yet.