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

  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.

• 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

• Ian Christopher Taunt

  IRN ICT01015

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Apr 2026)
  • SMF16 Compliance Oversight (since 10 Apr 2026)
• Ian John Pickford

  IRN IJP00002

  • SMF9 Chair of the Governing Body (20 Jan 2025 to 1 Sep 2025)
  • SMF1 Chief Executive (19 Apr 2023 to 20 Jan 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Aug 2025)
  • SMF3 Executive Director (9 Dec 2019 to 19 Apr 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 19 Dec 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Aug 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Sep 2025)
  • Responsible for Insurance Mediation (26 Feb 2010 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (5 Jun 2002 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Ian MacKinnon

  IRN IXM01165

  • CF30 Customer (1 Nov 2007 to 20 Jul 2012)
  • CF21 Investment Adviser (4 Oct 2007 to 31 Oct 2007)
• Ian Vaughan Barton

  IRN IVB00001

  • CF30 Customer (1 Nov 2007 to 29 Jul 2016)
  • CF21 Investment Adviser (17 May 2006 to 31 Oct 2007)
• Jacqueline Mary Berry

  IRN JMB01529

  • SMF3 Executive Director (26 Sep 2024 to 19 Dec 2024)
• James Andrew Rowlinson

  IRN JXR00197

  • 14. Managing investments
  • [FCA CF] Client dealing (since 26 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• James Andrew Temperley

  IRN JAT01135

  • CF30 Customer (12 Jan 2015 to 17 Oct 2018)
• James Douglas David Glass

  IRN JDG01098

  • CF30 Customer (11 Jun 2010 to 1 Apr 2011)
• James Hunter-Jones

  IRN JPH01233

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • [FCA CF] Client dealing (since 26 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
• James Oliver Robinson

  IRN JOR01008

  • 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 (8 Jul 2016 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.