SHIPMAN FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Eagle House

  1 Babbage Way

  Exeter Science Park

  Exeter

  Devon

  EX5 2FN

  UNITED KINGDOM

  Phone

  +441392278491

  Web

  https://www.shipmanfp.co.uk

• Complaints Contact

  Eagle House

  1 Babbage Way

  Exeter Science Park

  Exeter

  Devon

  EX5 2FN

  UNITED KINGDOM

  Phone

  +441392278491

• Pension Transfer Advice

  For 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 pension policies with a Guaranteed Annuity Rate.
  • · 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, 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, 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, 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.

• David Kenneth Groves

  IRN DKG01029

  • 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 14 Mar 2022)
  • [FCA CF] Client dealing (since 14 Mar 2022)
• Diane Helen Whicher

  IRN DHW00012

  • CF30 Customer (28 Jul 2020 to 1 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2022)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Mar 2022)
• Dominic Chisholm-El Saad

  IRN DJC00150

  • CF30 Customer (8 May 2012 to 8 Mar 2013)
• Dominic Fletcher

  IRN DJF01239

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Apr 2024)
  • CF30 Customer (1 Sep 2017 to 17 Jun 2022)
• Edward Cameron

  IRN EXC00238

  • SMF16 Compliance Oversight (since 23 Apr 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Dec 2022)
• George James Uglow

  IRN GXU11133

  • [FCA CF] Functions requiring qualifications (19 May 2022 to 24 Oct 2022)
  • [FCA CF] Client dealing (19 May 2022 to 24 Oct 2022)
• Hugh Christopher Kinnear Forsyth

  IRN HXF00009

  • CF30 Customer (25 Nov 2022 to 6 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Feb 2024)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Feb 2024)
• Ian John Avery

  IRN IJA01013

  • CF30 Customer (1 Feb 2012 to 7 Dec 2012)
• Jacob Rudman

  IRN JRR00023

  • [FCA CF] Functions requiring qualifications (2 Apr 2024 to 9 Aug 2025)
  • [FCA CF] Client dealing (2 Apr 2024 to 9 Aug 2025)
• James Anthony Moysey Toms

  IRN JAT01175

  • CF30 Customer (7 Mar 2014 to 24 Dec 2014)

• Whichers IFA LIMITED

  FRN 927125 · Appointed 2 Jun 2020

• MWFS Ltd (no longer appointed)

  FRN 931936 · Appointed 13 Aug 2020 · Until 11 Sep 2023

• Hall & Partners Financial Services Limited (no longer appointed)

  FRN 220951 · Appointed 8 Dec 2017 · Until 12 Nov 2020

No changes recorded yet.