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

• Sheena Lorraine Plaw

  IRN SXP06645

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Mar 2023)
  • CF30 Customer (27 Sep 2018 to 8 Dec 2019)
• Sheridan Rose Gardiner

  IRN SRH00008

  • CF21 Investment Adviser (1 Dec 2001 to 17 Sep 2004)
• Shirley Reeve

  IRN SXR00551

  • [FCA CF] Significant management (28 Jun 2022 to 12 Dec 2024)
• Simon Charles Trow

  IRN SCT00008

  • CF21 Investment Adviser (1 Dec 2001 to 4 Sep 2002)
• Sorangi Shah

  IRN SXS02905

  • CF30 Customer (25 Jan 2012 to 2 Jan 2018)
• Steven John Murphy

  IRN SJM01299

  • CF30 Customer (1 Nov 2007 to 27 Mar 2009)
  • CF24 Pension Transfer Specialist (17 Aug 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (17 Aug 2006 to 31 Oct 2007)
• Steven Stanley Scales

  IRN SSS00017

  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Jan 2005)
  • CF21 Investment Adviser (11 Sep 2003 to 31 Jan 2005)
  • CF1 Director (1 Dec 2001 to 31 Jan 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Jan 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Jan 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Jan 2005)
• Stuart David Hart

  IRN SDH01104

  • CF30 Customer (1 Nov 2007 to 23 Apr 2009)
  • CF22 Investment Adviser (Trainee) (14 Mar 2007 to 31 Oct 2007)
• Stuart Edward Mansell-Brown

  IRN SEM01110

  • CF30 Customer (16 Jun 2011 to 9 Jul 2012)
• TERENCE MARTIN Bignall

  IRN TMB01050

  • CF21 Investment Adviser (1 Dec 2001 to 11 Sep 2003)

• 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.