Timothy Horrocks

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.

  • Rock Wealth LLP

    FRN 610181

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (3 Nov 2025 to 11 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jun 2020)
    • CF1 Director (AR) (15 May 2019 to 11 Dec 2024)
    • CF4 Partner (7 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Feb 2014 to 30 Sep 2018)
  • ROCKWEALTH COTSWOLDS LTD (no longer approved here)

    FRN 1043777

    • (1)Employed By (3 Nov 2025 to 11 Mar 2026)
  • RockWealth Leeds Ltd (no longer approved here)

    FRN 982423

    • (1)Employed By (21 Sep 2022 to 20 Dec 2024)
  • ROCKWEALTH ABERDEEN LTD (no longer approved here)

    FRN 968381

    • (1)Employed By (29 Mar 2022 to 20 Dec 2024)
  • Private Capital (UK) Limited (no longer approved here)

    FRN 830433

    • (1)Employed By (6 Feb 2019 to 20 Dec 2024)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (7 Apr 2011 to 29 Dec 2011)
  • Neil Gayler & Co (no longer approved here)

    FRN 184661

    • (9)Employed By (7 Apr 2011 to 29 Dec 2011)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (23 Jul 2008 to 15 May 2011)
  • Tim Horrocks (no longer approved here)

    FRN 486238

    • Employed By (23 Jul 2008 to 15 May 2011)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 11 Jul 2008)
    • CF22 Investment Adviser (Trainee) (11 Dec 2006 to 31 Oct 2007)
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Recent activity

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

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