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.

• James Mark Thomas

  IRN JMT01152

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Apr 2024)
  • [FCA CF] Client dealing (since 2 Apr 2024)
• Jason Richard Haines

  IRN JRH00049

  • CF30 Customer (1 Apr 2022 to 6 Sep 2023)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 17 Mar 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Mar 2026)
• Joanne Elizabeth Dale

  IRN JXD10778

  • 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] Client dealing (since 2 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Apr 2024)
• John Hamish Thomas Mills

  IRN JHM01086

  • CF30 Customer (17 Nov 2014 to 2 Mar 2015)
• John Robert Downs

  IRN JRD00006

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Nov 2021)
  • CF11 Money Laundering Reporting (12 Apr 2017 to 8 Dec 2019)
• Jonathan Sampson

  IRN JXS01816

  • CF30 Customer (11 Mar 2013 to 12 Nov 2013)
• Joy-Ann Patricia Wisniewski

  IRN JPB01320

  • 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] Client dealing (since 9 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 9 Mar 2026)
• Lee Martin Cleaves

  IRN LMC01093

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • [FCA CF] Client dealing (since 11 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2022)
• Lorraine Ann Bowen

  IRN LXB00340

  • 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
  • CF30 Customer (since 8 Jun 2022)
  • [FCA CF] Client dealing (since 29 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 29 Sep 2021)
• Lucy Jane Ernest

  IRN LXE10288

  • SMF3 Executive Director (1 Sep 2021 to 8 Jul 2024)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (15 Jan 2019 to 8 Dec 2019)

• 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.