Kenneth Marshall

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Solicitors Financial Centre Limited

    FRN 425418

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 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)
    • Responsible for Insurance Distribution (since 24 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF3 Chief Executive (22 Oct 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jul 2005 to 31 Oct 2007)
    • CF1 Director (1 Jul 2005 to 8 Dec 2019)
  • Peterkins (no longer approved here)

    FRN 113007

    • CF21 Investment Adviser (1 Dec 2001 to 19 Oct 2005)

Recent activity

Updates to this individual's record on the FCA register.

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