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

• Kersi Deboo

  IRN KXD00003

  • CF21 Investment Adviser (4 Apr 2005 to 29 Jun 2005)
• Kevin Garfagnini

  IRN KXG00007

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Sep 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Kevin Henry Blake

  IRN KHB00002

  • CF30 Customer (1 Nov 2007 to 28 Mar 2008)
  • CF21 Investment Adviser (15 Aug 2007 to 31 Oct 2007)
• Kirsty Anne Foley

  IRN KXF00224

  • 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 10 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 10 Jun 2025)
• Laura Michelle Salter

  IRN LMT01063

  • 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] Manager of certification employee (since 1 Feb 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 May 2017 to 8 Dec 2019)
• Lesley Carol Mackintosh

  IRN LCC00002

  • [FCA CF] Functions requiring qualifications (15 Sep 2022 to 15 Sep 2025)
  • [FCA CF] Client dealing (5 May 2022 to 2 Aug 2022)
• Liam Duffy

  IRN LXD00300

  • [FCA CF] Functions requiring qualifications (26 Apr 2023 to 23 Dec 2024)
  • [FCA CF] Client dealing (26 Apr 2023 to 23 Dec 2024)
• Lindsay Roy Pentelow

  IRN LXP21806

  • SMF3 Executive Director (30 Dec 2019 to 14 Apr 2021)
• Lindsey Gillian Docherty

  IRN LXD00316

  • [FCA CF] Client dealing (1 Sep 2023 to 13 Aug 2025)
  • [FCA CF] Functions requiring qualifications (1 Sep 2023 to 13 Aug 2025)
• Lorraine Heather Albery

  IRN LHA01000

  • CF22 Investment Adviser (Trainee) (7 Mar 2002 to 3 May 2002)

• 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.