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

• Nicholas James

  IRN NXJ00013

  • CF21 Investment Adviser (28 Feb 2002 to 29 Aug 2003)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Feb 2002)
• Nicholas Patrick Jerzy Konarski

  IRN NXK00161

  • [FCA CF] Functions requiring qualifications (4 Jan 2022 to 31 Jan 2024)
  • [FCA CF] Client dealing (4 Jan 2022 to 31 Jan 2024)
• Nicholas William Hamilton

  IRN NWH01030

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [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)
• Nicholas William Nesbitt

  IRN NWN01004

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (6 Feb 2012 to 8 Dec 2019)
• Nicola Rachel Coates

  IRN NRT01041

  • CF30 Customer (1 Nov 2007 to 7 Nov 2008)
  • CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)
• Nigel Healy Hutchinson

  IRN NHH00004

  • CF1 Director (12 Feb 2013 to 31 Aug 2017)
  • CF30 Customer (15 Sep 2011 to 30 Aug 2019)
• Nikki Peter Rowell

  IRN NXR01183

  • CF30 Customer (24 Jun 2013 to 2 Feb 2015)
• Olivia Lesley Bucher

  IRN OLB01008

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2022)
  • CF30 Customer (1 Aug 2019 to 8 Dec 2019)
• Patrick William Rowan

  IRN PXR00342

  • 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 1 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2023)
• Paul Anthony Simmons

  IRN PAS01390

  • 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] Manager of certification employee (since 1 Mar 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)

• 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.