Succession Financial Management Limited

• Principal Place of Business

  Succession Wealth Ltd

  The Apex

  Brest Road

  Derriford Business Park

  Plymouth

  PL6 5FL

  UNITED KINGDOM

  Phone

  +4401752968500

  Web

  https://www.successionwealth.co.uk

• Complaints Contact

  Succession Wealth Ltd

  The Apex

  Brest Road

  Derriford Business Park

  Plymouth

  PL6 5FL

  UNITED KINGDOM

  Phone

  +4401752968500

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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

  Show 1 limitation Hide limitations

  • · 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.

• Stuart William Thorpe

  IRN SWT01025

  • CF30 Customer (25 Aug 2016 to 6 Oct 2017)
• Suhag Sharma

  IRN SXS24011

  • 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 15 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 15 Apr 2024)
• Suhail Esat

  IRN SXE31894

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 29 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)
• Susan Marie Puddephatt

  IRN SMP01107

  • SMF4 Chief Risk (3 May 2024 to 31 Mar 2026)
  • Responsibility for MCD Intermediation (3 May 2024 to 31 Mar 2026)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Mar 2020)
  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2026)
  • CF1 Director (15 Feb 2019 to 8 Dec 2019)
  • Responsible for Insurance Distribution (15 Feb 2019 to 31 Mar 2026)
  • CF11 Money Laundering Reporting (15 Feb 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Feb 2019 to 8 Dec 2019)
• TERENCE MARTIN Bignall

  IRN TMB01050

  • CF30 Customer (2 Nov 2017 to 8 Dec 2019)
• Tamsin Elizabeth Hazell

  IRN TEH01028

  • CF30 Customer (14 Jan 2017 to 8 Dec 2019)
• Tanya Grady

  IRN TXS01371

  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)
• Taylor Jordan Hillery

  IRN TXH00417

  • 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 4 Mar 2025)
  • [FCA CF] Client dealing (since 4 Mar 2025)
• Terry William Kellow

  IRN TWK01016

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Apr 2023)
  • CF30 Customer (20 Aug 2018 to 8 Dec 2019)
• Thomas Anthony Austin

  IRN TXA01149

  • CF30 Customer (5 Feb 2015 to 4 Mar 2016)

No changes recorded yet.