Timothy Kearsley

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Diverse Financial Planning Limited

    FRN 762816

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Jun 2017 to 8 Dec 2019)
    • CF1 Director (1 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jun 2017 to 30 Sep 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (16 May 2011 to 1 Sep 2011)
  • ALLIED FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 458009

    • CF30 Customer (1 Nov 2007 to 29 Apr 2011)
    • CF22 Investment Adviser (Trainee) (4 Oct 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (30 Jan 2003 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (24 Sep 2002 to 30 Jan 2003)

Recent activity

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

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