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

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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.

• 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

• Ashley Alan Jones

  IRN AXJ00638

  • 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 23 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 23 Jan 2026)
• Benjamin Matthew Lloyd

  IRN BMB00007

  • CF30 Customer (1 Nov 2007 to 13 Feb 2009)
  • CF21 Investment Adviser (21 Aug 2007 to 31 Oct 2007)
• Benjamin Oliver Seager-Scott

  IRN BXS01648

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • [FCA CF] Material risk taker (since 7 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 5 Sep 2024)
  • [FCA CF] Client dealing (since 5 Sep 2024)
  • [FCA CF] Manager of certification employee (since 5 Sep 2024)
• Bradley James Edens

  IRN BXE00081

  • 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] Functions requiring qualifications (since 1 Feb 2024)
  • [FCA CF] Client dealing (since 1 Feb 2024)
• Cameron Robert Bone

  IRN CXB00768

  • 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 1 Mar 2023)
  • [FCA CF] Client dealing (since 1 Mar 2023)
• Carl Gary Ward

  IRN CGW00001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Apr 2011 to 8 Dec 2019)
• Carl Robin Millington

  IRN CRM00019

  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2006)
• Caroline Gill

  IRN CXH01734

  • [FCA CF] Manager of certification employee (9 Feb 2024 to 28 Feb 2025)
  • SMF16 Compliance Oversight (23 Sep 2021 to 28 Feb 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (23 Sep 2021 to 28 Feb 2025)
• Caroline Schofield

  IRN CXW00024

  • CF21 Investment Adviser (1 Dec 2001 to 22 Sep 2004)
• Carolyn O'Brien

  IRN CXF00055

  • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Sep 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Sep 2021)
  • CF11 Money Laundering Reporting (13 Mar 2012 to 8 Dec 2019)
  • CF1 Director (13 Mar 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Mar 2012 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.