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

• Jayne Wildish

  IRN JHW01077

  • [FCA CF] Client dealing (19 May 2022 to 31 Jan 2024)
  • [FCA CF] Functions requiring qualifications (19 May 2022 to 31 Jan 2024)
• Jennifer Alice Massey

  IRN JXM00477

  • 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 10 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2021)
  • [FCA CF] Client dealing (since 1 Mar 2021)
• Jeremy Simon Leonard Brooks

  IRN JSB00013

  • CF21 Investment Adviser (1 Dec 2001 to 21 Nov 2005)
• Jose Ignacio Vilchez

  IRN JIV01000

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 May 2021)
  • CF30 Customer (11 Aug 2014 to 8 Dec 2019)
• Joseph Charles Triccas

  IRN JCT00029

  • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2002)
• Joshua James Scott

  IRN JXS01567

  • [FCA CF] Client dealing (1 Sep 2023 to 14 Nov 2024)
  • [FCA CF] Functions requiring qualifications (1 Sep 2023 to 14 Nov 2024)
• Julie Patricia Moretta

  IRN JPM00097

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 21 Jun 2002)
• Karen Emily Hughes

  IRN KEH01036

  • CF10 Compliance Oversight (28 Jan 2002 to 3 Sep 2004)
• Katherine Elizabeth Diamond

  IRN KXD00270

  • [FCA CF] Functions requiring qualifications (2 Mar 2023 to 2 Apr 2026)
  • [FCA CF] Client dealing (2 Mar 2023 to 2 Apr 2026)
• Kenneth William Stevenson

  IRN KWS01031

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Mar 2026)
  • CF30 Customer (19 Feb 2018 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.