Timothy Michael O'Connor

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.

  • TPIO Limited

    FRN 835577

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 9A. Advising on P2P agreements
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • Responsibility for MCD Intermediation (since 7 Aug 2024)
    • Responsible for Insurance Distribution (since 7 Aug 2024)
    • CF30 Customer (since 23 Nov 2021)
    • SMF3 (AR) Executive Director function (since 23 Nov 2021)
    • CF1 Director (AR) (since 23 Nov 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Jan 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Jan 2020)
    • CF1 Director (2 Sep 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Sep 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Sep 2019 to 8 Dec 2019)
    • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
  • Stonecross Investment Office Limited

    FRN 952841

    • (2)Employed By (since 23 Nov 2021)
  • JLM MORTGAGE NETWORK LTD (no longer approved here)

    FRN 300629

    • CF1 Director (AR) (16 Jun 2021 to 20 Jul 2021)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2020)
    • CF30 Customer (27 Apr 2015 to 8 Dec 2019)
    • CF27 Investment Management (11 Apr 2005 to 15 Dec 2005)
    • CF17 Significant Mgt (Other Business Operations) (11 Apr 2005 to 15 Dec 2005)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 15 Dec 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Dec 2005)
  • Embark Services Limited (no longer approved here)

    FRN 120820

    • CF29 Significant management (4 Jun 2013 to 1 Oct 2014)

Recent activity

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

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