Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Forvis Mazars Financial Planning Limited
FRN 182644
- 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] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (28 Apr 2025 to 6 Mar 2026)
- SMF16 Compliance Oversight (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)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.