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.

• Michael Shapland

  IRN MXS00639

  • [FCA CF] Client dealing (19 Apr 2021 to 17 Jun 2022)
  • [FCA CF] Functions requiring qualifications (19 Apr 2021 to 17 Jun 2022)
• Michelle Carol Willcock

  IRN MCL01051

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2005 to 31 Oct 2007)
• Neil Henry Sparkes

  IRN NHS00004

  • [FCA CF] Client dealing (2 Jan 2020 to 26 Nov 2021)
  • [FCA CF] Functions requiring qualifications (2 Jan 2020 to 26 Nov 2021)
• Nicholas Henry Wyard Gooch

  IRN NHG01017

  • SMF9 Chair of the Governing Body (8 Apr 2020 to 27 Apr 2023)
  • SMF3 Executive Director (9 Dec 2019 to 27 Apr 2023)
  • CF1 Director (22 Apr 2016 to 8 Dec 2019)
• Nicola Jane Mitchell

  IRN NXJ00037

  • SMF3 Executive Director (since 12 May 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
• Olya Edwards

  IRN OXE00013

  • [FCA CF] Functions requiring qualifications (18 Jul 2022 to 30 Sep 2024)
  • [FCA CF] Client dealing (18 Jul 2022 to 30 Sep 2024)
• Peter Nyland

  IRN PRN00004

  • CF1 Director (28 Dec 2016 to 14 Sep 2018)
  • CF30 Customer (18 Oct 2011 to 6 Apr 2019)
• Phillip Johns

  IRN PXJ01340

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2019 to 8 Dec 2019)
• Rachel Louise Allen

  IRN RLA01035

  • CF30 Customer (11 Nov 2015 to 31 Jul 2018)
• Reme Dean Fox Holland

  IRN RDH01112

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Oct 2022)
  • CF30 Customer (20 Jan 2016 to 8 Dec 2019)

No changes recorded yet.