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

• Colin Edward Campbell

  IRN CEC00019

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (26 Jun 2013 to 8 Dec 2019)
• Craig Bullock

  IRN CXB00003

  • CF21 Investment Adviser (12 Feb 2003 to 31 Jul 2003)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Feb 2003)
• Craig Scrimgeour Mackay

  IRN CSM00011

  • CF21 Investment Adviser (1 Dec 2001 to 15 Feb 2002)
• Daniel, Vincent Foy

  IRN DVF01010

  • 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 7 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Oct 2018 to 8 Dec 2019)
• Daniella Maria Campbell

  IRN DXC00694

  • 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 Sep 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2023)
• Darcy Ellice Needham-Jones

  IRN DXN19033

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Mar 2022)
  • CF30 Customer (23 Aug 2019 to 8 Dec 2019)
• Darrell Keith Parsons

  IRN DKP00005

  • CF30 Customer (2 Jul 2014 to 24 Mar 2017)
• David Gavin Hamilton

  IRN DGH00046

  • 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 25 Sep 2024)
  • [FCA CF] Client dealing (since 25 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 25 Sep 2024)
• David James Kelly

  IRN DJK00043

  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2002)
• David John Baker

  IRN DJB00193

  • 14. Managing investments
  • 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)
  • SMF1 Chief Executive (since 20 Jan 2025)
  • [FCA CF] Manager of certification employee (since 25 Mar 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (28 Apr 2025 to 6 Mar 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Apr 2025 to 6 Mar 2026)
  • [FCA CF] Significant management (9 Dec 2019 to 19 Dec 2024)
  • SMF3 Executive Director (9 Dec 2019 to 20 Jan 2025)
  • CF1 Director (17 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (19 Feb 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Feb 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.