Thomas John 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.

  • KPW Investments LLP

    FRN 609061

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2025)
    • [FCA CF] Client dealing (since 9 Dec 2025)
  • S W FINANCIAL MANAGEMENT LTD (no longer approved here)

    FRN 549836

    • [FCA CF] Client dealing (4 Dec 2020 to 2 Jan 2026)
    • [FCA CF] Functions requiring qualifications (4 Dec 2020 to 2 Jan 2026)
    • CF30 Customer (4 Oct 2019 to 8 Dec 2019)
  • Glasgow Credit Union Ltd (no longer approved here)

    FRN 213558

    • CF1 Director (21 Feb 2011 to 19 Sep 2011)

Recent activity

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

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