Goodmans Financial Planning Ltd

• Principal Place of Business

  6 Drake Circus

  Plymouth

  Devon

  PL4 8AQ

  UNITED KINGDOM

  Phone

  +4401752686725

  Web

  https://www.goodmansfp.com

• Complaints Contact

  6 Drake Circus

  Plymouth

  Devon

  PL4 8AQ

  UNITED KINGDOM

  Phone

  +4401752686725

• 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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  • · 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.

• Investment Advice (no pensions)

  For Commercial, 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, 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

• Investment Setup

  For Commercial, 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.

• Alison Claire Torr

  IRN ACT01084

  • CF30 Customer (20 Aug 2013 to 8 Dec 2019)
• Andrew Michael Leigh

  IRN AML00035

  • CF30 Customer (10 Dec 2012 to 24 Dec 2012)
• Andrew Warner Moore

  IRN AWM01109

  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jan 2022)
  • SMF3 Executive Director (9 Dec 2019 to 8 Oct 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 8 Oct 2025)
  • CF11 Money Laundering Reporting (10 Feb 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Feb 2010 to 11 Sep 2015)
  • CF30 Customer (10 Feb 2010 to 8 Dec 2019)
  • CF1 Director (10 Feb 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (10 Feb 2010 to 30 Sep 2018)
• Anthony Vasiliou

  IRN AXV01499

  • CF30 Customer (1 Mar 2016 to 15 Jul 2016)
• Christopher David Mason

  IRN CDM00011

  • CF30 Customer (6 Mar 2012 to 18 Nov 2014)
• Christopher George

  IRN CXG01327

  • CF30 Customer (24 Jan 2011 to 18 Nov 2014)
• DAVID GRAHAM BYWORTH

  IRN DXB00558

  • SMF3 Executive Director (since 6 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Jan 2022)
• David Finbarr O'Reilly

  IRN DFO00002

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jan 2023)
  • SMF3 Executive Director (9 Dec 2019 to 2 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2024)
  • CF1 Director (8 Sep 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Sep 2015 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2014 to 8 Dec 2019)
• David Glyn Martin

  IRN DGM01158

  • 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
  • 11. Pension transfer specialist
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• David Robert Williams

  IRN DRW00030

  • CF30 Customer (21 Feb 2012 to 31 Dec 2012)

No changes recorded yet.