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.

• Richard Edward Bambrough

  IRN REB01148

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 11 Oct 2019)
  • CF1 Director (11 Oct 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 May 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 May 2018 to 8 Dec 2019)
• Robert Alan Brownscombe

  IRN RAB01264

  • CF11 Money Laundering Reporting (1 Dec 2005 to 17 Nov 2010)
  • CF1 Director (1 Dec 2005 to 30 Nov 2010)
• Robert Darren Withecombe

  IRN RDW01080

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 5 Apr 2023)
• Rosalyn Gay Shallcroft

  IRN RGS01133

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2025)
  • CF30 Customer (6 Dec 2017 to 8 Dec 2019)
• Ruby Craven

  IRN RXC00647

  • 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 5 Jun 2023)
  • [FCA CF] Client dealing (since 5 Jun 2023)
• Shaun Hardaker

  IRN SXH03081

  • 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 10 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2025)
• Simon Peter Aston

  IRN SPA01077

  • 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 24 Nov 2025)
  • [FCA CF] Client dealing (since 24 Nov 2025)
• Simon Richards

  IRN SXR25169

  • [FCA CF] Functions requiring qualifications (18 Oct 2021 to 29 Jul 2022)
  • [FCA CF] Client dealing (18 Oct 2021 to 29 Jul 2022)
• Stephen John Collins

  IRN SJC01286

  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2020)
  • CF1 Director (23 Apr 2015 to 8 Dec 2019)
• Stuart Douglas Budgen

  IRN SXB00015

  • Responsible for Insurance Mediation (20 Aug 2015 to 30 Oct 2015)
  • CF11 Money Laundering Reporting (19 Nov 2014 to 30 Oct 2015)
  • CF10 Compliance Oversight (19 Nov 2014 to 30 Oct 2015)
  • CF1 Director (19 Nov 2014 to 30 Oct 2015)
  • CF30 Customer (29 Apr 2014 to 30 Oct 2015)

No changes recorded yet.