SW FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Kingsley Close

  Lee Mill

  Ivybridge

  Devon

  PL21 9GD

  UNITED KINGDOM

  Phone

  +4401752205205

  Web

  https://www.swlaw.co.uk

• Complaints Contact

  S W Law Solicitors

  Kingsley Close

  Lee Mill Industrial Estate

  Ivybridge

  Devon

  PL21 9GD

  UNITED KINGDOM

  Phone

  +4401752205205

• 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, Stakeholder pension scheme, Unit

• 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, 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

  Show 1 limitation Hide limitations

  • · 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, 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

• 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, 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.

• Charles Huibert Clabon Knight

  IRN CHK01019

  • CF30 Customer (20 Dec 2012 to 9 Jul 2014)
• Christopher James Richards

  IRN CJR01178

  • CF30 Customer (1 Mar 2014 to 13 Oct 2017)
• Eric John Cowsill

  IRN EJC00001

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 13 Oct 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (21 May 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (21 May 2003 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (21 May 2003 to 1 Nov 2007)
  • CF10 Compliance Oversight (21 May 2003 to 8 Dec 2019)
  • CF1 Director (21 May 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 May 2003 to 8 Dec 2019)
• Gillian Cowsill

  IRN GXC01366

  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • CF1 Director (21 May 2003 to 8 Dec 2019)
• Gordon Walter Lynes

  IRN GWL00011

  • CF30 Customer (1 Nov 2007 to 31 Mar 2015)
  • CF21 Investment Adviser (7 Jun 2005 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (7 Jun 2005 to 31 Oct 2007)
• Graeme Peter Elliott-Smith

  IRN GPE01007

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Jul 2025)
  • Appointed representative dealing with clients for which they require qualification (since 18 Jul 2025)
  • [FCA CF] Client dealing (since 18 Jul 2025)
• Graham Joseph Westhall

  IRN GJW01100

  • CF30 Customer (16 Jul 2012 to 18 Feb 2014)
• Robert Charles Vaughan Webb

  IRN RCW01122

  • CF30 Customer (13 Jun 2017 to 18 Jan 2018)
• Robert Simon Cowsill

  IRN RSC01111

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 16 Jul 2019)
  • CF1 Director (16 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (28 Nov 2016 to 8 Dec 2019)
• Sarah Rosalin Hunt

  IRN SRB00030

  • CF30 Customer (31 Aug 2012 to 12 Nov 2012)

No changes recorded yet.