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.

• Peter Robert Ellis

  IRN PXE00047

  • CF1 Director (AR) (since 15 Oct 2025)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Sep 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Nov 2022)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Nov 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Nov 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 12 May 2025)
  • CF30 Customer (5 Nov 2010 to 17 Jun 2022)
  • CF11 Money Laundering Reporting (5 Nov 2010 to 7 Feb 2011)
  • CF10 Compliance Oversight (5 Nov 2010 to 8 Dec 2019)
  • CF1 Director (5 Nov 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Nov 2010 to 30 Sep 2018)
• Philippa Ruth Frost

  IRN PRC00009

  • [FCA CF] Manager of certification employee (3 Aug 2020 to 5 Apr 2021)
  • SMF3 Executive Director (9 Dec 2019 to 19 Jul 2021)
  • CF1 Director (1 Jan 2017 to 8 Dec 2019)
  • CF30 Customer (1 Feb 2016 to 8 Dec 2019)
• Robert Charles Whicher

  IRN RCW00027

  • CF30 Customer (28 Jul 2020 to 31 Jan 2022)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2022)
• Sam Tisbury

  IRN SXT00518

  • [FCA CF] Client dealing (2 Apr 2024 to 14 Apr 2025)
  • [FCA CF] Functions requiring qualifications (2 Apr 2024 to 14 Apr 2025)
• Simon Northcott

  IRN SXN18764

  • CF30 Customer (29 Jul 2020 to 31 Oct 2020)
• Simon Paul Ewings

  IRN SPE01033

  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Jul 2024)
• Stephen John Trower

  IRN SJT00093

  • CF30 Customer (12 Jun 2012 to 28 Feb 2014)
• Susan Ann Pratt

  IRN SAP00002

  • CF30 Customer (3 May 2012 to 23 Nov 2012)
• Tanya Ellis

  IRN TXE01122

  • CF1 Director (22 Dec 2014 to 20 Jan 2016)
• Tara Dixon

  IRN TXD00104

  • 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 31 May 2022)
  • [FCA CF] Client dealing (since 12 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 12 Aug 2021)

• 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.