Timothy Parkes

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.

  • Derbyshire Independent Financial Advisers LLP

    FRN 624915

    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (22 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (22 Sep 2014 to 8 Dec 2019)
    • CF4 Partner (22 Sep 2014 to 8 Dec 2019)
  • Derbyshire Independent Financial Advisers LLP (no longer approved here)

    FRN 450117

    • Employed By (12 Apr 2006 to 19 Sep 2014)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (6 Sep 2004 to 14 Apr 2006)
    • CF22 Investment Adviser (Trainee) (9 Dec 2003 to 6 Sep 2004)

Recent activity

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

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