Simon Paul 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.

  • 415 LLP

    FRN 479512

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • [FCA CF] Significant management (since 19 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (31 Mar 2008 to 8 Dec 2019)
    • CF4 Partner (31 Mar 2008 to 8 Dec 2019)
  • 415 Independent Financial Planners 1794 (no longer approved here)

    FRN 172156

    • (3)Employed By (1 Oct 1998 to 29 Dec 2003)

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

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