Forvis Mazars Financial Planning Limited

• Principal Place of Business

  Forvis Mazars LLP

  30 Old Bailey

  London

  City Of London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +4402070634000

  Web

  https://www.forvismazars.com/uk/en

• Complaints Contact

  Forvis Mazars LLP

  30 Old Bailey

  London

  City Of London

  EC4M 7AU

  UNITED KINGDOM

  Phone

  +442070634000

• 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

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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.

• 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.

• 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, 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

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Debenture, Government and public security, Share, Structured Deposits, Unit

• Consumer Loans

• Loan Servicing

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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

  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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Debenture, Government and public security, Share, Unit

• Adam Derek Webb

  IRN ADW01130

  • [FCA CF] Manager of certification employee (26 Aug 2021 to 23 Mar 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Aug 2021)
  • CF30 Customer (27 Aug 2013 to 8 Dec 2019)
• Adam Henry Moon

  IRN AHM01135

  • CF30 Customer (9 Apr 2013 to 1 Apr 2015)
• Adam James Anthony Bradbury

  IRN AXB04687

  • 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 13 Aug 2025)
  • [FCA CF] Client dealing (since 13 Aug 2025)
• Adam Jonathan Green

  IRN AXG19030

  • [FCA CF] Manager of certification employee (5 Sep 2024 to 25 Jul 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 25 Jul 2025)
  • CF30 Customer (23 Aug 2019 to 8 Dec 2019)
• Adam Rawstron Wilkinson

  IRN ARW01125

  • CF30 Customer (1 Nov 2007 to 26 Feb 2010)
  • CF21 Investment Adviser (5 Sep 2006 to 31 Oct 2007)
• Adam Simpson

  IRN AXS04157

  • CF1 Director (23 Sep 2015 to 6 Oct 2017)
• Alan Duley

  IRN AXD00018

  • SMF3 Executive Director (since 30 Nov 2020)
• Alan Reid Craig

  IRN ARC00002

  • CF21 Investment Adviser (1 Dec 2001 to 16 Sep 2003)
• Alasdair Stewart Fraser

  IRN ASF00002

  • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2002)
• Alec David Wright

  IRN ADW01108

  • CF10 Compliance Oversight (5 May 2005 to 15 Mar 2012)
  • CF11 Money Laundering Reporting (5 May 2005 to 15 Mar 2012)

• Rowanmoor Consultancy Limited (no longer appointed)

  FRN 807694 · Appointed 27 Apr 2018 · Until 11 Nov 2021

• Mazars Employee Benefits Limited (no longer appointed)

  FRN 441536 · Appointed 19 Apr 2011 · Until 3 Jan 2018

• Mazars Employee Benefits Limited (no longer appointed)

  FRN 441536 · Appointed 16 Feb 2011 · Until 16 Feb 2011

No changes recorded yet.