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.

• Kuljit Singh Dev

  IRN KSD00004

  • [FCA CF] Client dealing (1 Dec 2020 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 30 Jun 2023)
• Laura Elizabeth Saunders

  IRN LEA01013

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Oct 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Oct 2020)
  • CF30 Customer (26 May 2015 to 8 Dec 2019)
• Leslie Michael Burnett

  IRN LMB01160

  • CF1 Director (23 Apr 2015 to 1 Apr 2016)
• Lyndon Paul Massey

  IRN LXM00017

  • 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] Client dealing (since 3 May 2023)
  • [FCA CF] Functions requiring qualifications (since 3 May 2023)
• Martin John Vickery

  IRN MJV01049

  • [FCA CF] Manager of certification employee (since 3 Jan 2023)
• Matthew James Garnett

  IRN MJG01405

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Oct 2019 to 8 Dec 2019)
• Matthew James Trenaman

  IRN MXT86404

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Matthew Swan

  IRN MXS00155

  • 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 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Jan 2023)
• Michael Benjamin Wilson

  IRN MBW00008

  • CF3 Chief Executive (14 Nov 2011 to 1 Apr 2018)
  • CF1 Director (14 Nov 2011 to 31 Mar 2019)
  • CF30 Customer (31 Aug 2011 to 31 Mar 2019)
• Michael John Furniss

  IRN MJF00007

  • 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 26 Feb 2024)
  • [FCA CF] Client dealing (since 26 Feb 2024)

No changes recorded yet.