Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MARSHALL PENSION & FINANCIAL PLANNING LTD
FRN 781168
- 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 15 Dec 2020)
- [FCA CF] Client dealing (since 15 Dec 2020)
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- CF30 Customer (23 Aug 2018 to 23 Nov 2018)
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- CF30 Customer (4 Sep 2015 to 17 Feb 2017)
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- Employed By (29 Jul 2013 to 7 Sep 2016)
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- CF24 Pension Transfer Specialist (1 Dec 2001 to 19 Jul 2004)
- CF21 Investment Adviser (1 Dec 2001 to 29 Jan 2005)
- CF1 Director (1 Dec 2001 to 29 Jan 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.