Neil 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.

  • Tier One Capital Wealth Management Limited

    FRN 588633

    • 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] Functions requiring qualifications (since 27 Jul 2023)
    • [FCA CF] Client dealing (since 27 Jul 2023)
  • Corbel Partners Limited (no longer approved here)

    FRN 429142

    • CF30 Customer (6 Aug 2025 to 8 Dec 2025)
  • Vela Wealth Limited (no longer approved here)

    FRN 1037492

    • Employed By (6 Aug 2025 to 8 Dec 2025)
  • Tier One Capital Ltd (no longer approved here)

    FRN 583021

    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jun 2023)
    • CF11 Money Laundering Reporting (1 Aug 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.