Shipman Wealth Management Ltd

• Principal Place of Business

  Eagle House

  1 Babbage Way

  Exeter Science Park

  Exeter

  Devon

  EX5 2FN

  UNITED KINGDOM

  Phone

  +448081754433

  Web

  https://www.amberriver.com/sw

• Complaints Contact

  Eagle House

  1 Babbage Way

  Exeter Science Park

  Exeter

  Devon

  EX5 2FN

  UNITED KINGDOM

  Phone

  +448081754433

• 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.
  • · 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 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, 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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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Christopher Richard Brocksom

  IRN CXB24684

  • [FCA CF] Client dealing (9 Dec 2020 to 11 Mar 2024)
  • CF30 Customer (27 Nov 2019 to 8 Dec 2019)
• David Gardiner

  IRN DXG01944

  • 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 6 Mar 2025)
  • [FCA CF] Client dealing (since 6 Mar 2025)
• 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 3 Jan 2023)
  • [FCA CF] Client dealing (since 3 Jan 2023)
• Dominic Fletcher

  IRN DJF01239

  • [FCA CF] Client dealing (20 Dec 2022 to 19 Apr 2024)
  • [FCA CF] Functions requiring qualifications (20 Dec 2022 to 19 Apr 2024)
• Edward Cameron

  IRN EXC00238

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Mar 2024)
  • SMF16 Compliance Oversight (since 28 Mar 2024)
• Edward James Holbrook

  IRN EJH01101

  • [FCA CF] Client dealing (9 Dec 2020 to 16 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 16 Dec 2022)
  • CF30 Customer (2 Apr 2013 to 8 Dec 2019)
• Emma Marie Woolfrey

  IRN EMC00003

  • [FCA CF] Client dealing (9 Dec 2020 to 31 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 31 Mar 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jul 2021)
  • SMF3 Executive Director (9 Dec 2019 to 3 Jul 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
  • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
  • CF1 Director (2 Jan 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
• Fiona Dare

  IRN FXD00042

  • [FCA CF] Client dealing (9 Dec 2020 to 11 Mar 2024)
• Harold Charles Bailey

  IRN HCB00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 28 Aug 2025)
  • [FCA CF] Client dealing (9 Dec 2020 to 28 Aug 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
• Heather Horner

  IRN HXH00084

  • [FCA CF] Client dealing (9 Dec 2020 to 8 Feb 2023)

• Breed Elliott (S.W.) Limited

  FRN 994923 · Appointed 17 Apr 2023

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