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

• Hugh Christopher Kinnear Forsyth

  IRN HXF00009

  • [FCA CF] Functions requiring qualifications (3 Jan 2023 to 1 Feb 2024)
  • [FCA CF] Client dealing (3 Jan 2023 to 1 Feb 2024)
• Jacob Rudman

  IRN JRR00023

  • [FCA CF] Client dealing (3 Jan 2023 to 8 Aug 2025)
  • [FCA CF] Functions requiring qualifications (3 Jan 2023 to 8 Aug 2025)
• James Mark Thomas

  IRN JMT01152

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Manager of certification employee (since 1 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
  • [FCA CF] Client dealing (since 3 Jan 2023)
• Jason Richard Haines

  IRN JRH00049

  • [FCA CF] Functions requiring qualifications (3 Jan 2023 to 16 Mar 2026)
  • [FCA CF] Client dealing (3 Jan 2023 to 16 Mar 2026)
• Jeremy Richard Glynne-Jones

  IRN JRG00011

  • 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 1 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Aug 2023)
• 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 3 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
• 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] Functions requiring qualifications (since 17 Feb 2026)
  • [FCA CF] Client dealing (since 17 Feb 2026)
• Keith Owen

  IRN KXO00012

  • CF30 Customer (1 Nov 2007 to 29 Mar 2013)
  • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
• 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] Functions requiring qualifications (since 6 Jan 2023)
  • [FCA CF] Client dealing (since 6 Jan 2023)
• Lorraine Ann Bowen

  IRN LXB00340

  • 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 15 Jun 2023)
  • [FCA CF] Client dealing (since 15 Jun 2023)

• Breed Elliott (S.W.) Limited

  FRN 994923 · Appointed 17 Apr 2023

No changes recorded yet.