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

• Lucy Jane Ernest

  IRN LXE10288

  • SMF3 Executive Director (1 Sep 2021 to 29 Jul 2022)
• MARCUS EDWIN ARNOLD POTTER

  IRN MXP24339

  • 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] Functions requiring qualifications (since 17 Feb 2026)
  • [FCA CF] Client dealing (since 17 Feb 2026)
• Malcolm Iremonger

  IRN MXI00013

  • CF21 Investment Adviser (2 Jan 2007 to 15 Jun 2007)
• Maria Catherine Whiteway Mugford

  IRN MCM00026

  • [FCA CF] Manager of certification employee (1 Mar 2022 to 1 Jul 2022)
• Mark Cudmore

  IRN MXC00538

  • [FCA CF] Significant management (9 Dec 2020 to 30 Sep 2021)
• Mark Ivan Brookman

  IRN MIB00013

  • 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 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Feb 2020)
  • CF30 Customer (16 Oct 2012 to 8 Dec 2019)
• Martin Harald Lingeman

  IRN MHL00004

  • CF30 Customer (1 Nov 2007 to 29 Mar 2019)
  • CF22 Investment Adviser (Trainee) (19 Mar 2007 to 31 Oct 2007)
• Mary Elaine Shere

  IRN MED00016

  • [FCA CF] Client dealing (9 Dec 2020 to 23 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 23 Jun 2023)
  • CF30 Customer (30 May 2018 to 8 Dec 2019)
• Matthew John Seabrook Clark

  IRN MJC01462

  • CF30 Customer (14 Apr 2008 to 7 Aug 2009)
• Michael Anthony Williams

  IRN MAW01363

  • SMF17 Money Laundering Reporting Officer (MLRO) (2 Sep 2021 to 10 Jun 2024)
  • SMF16 Compliance Oversight (2 Sep 2021 to 10 Jun 2024)
  • SMF3 Executive Director (2 Sep 2021 to 31 Mar 2025)

• Breed Elliott (S.W.) Limited

  FRN 994923 · Appointed 17 Apr 2023

No changes recorded yet.