Neil James 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.

  • Sense Financial Solutions Limited

    FRN 616273

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Responsibility for MCD Intermediation (since 6 Feb 2024)
    • SMF16 Compliance Oversight (since 6 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Feb 2024)
    • Responsible for Insurance Distribution (since 6 Feb 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
    • CF1 Director (1 Sep 2014 to 8 Dec 2019)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (31 Mar 2013 to 31 Aug 2014)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 31 Aug 2014)
    • CF1 Director (AR) (27 Jan 2005 to 31 Aug 2014)
    • CF21 Investment Adviser (27 Jan 2005 to 31 Oct 2007)

Recent activity

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

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