THOMAS, CARROLL (BROKERS) LIMITED

• Principal Place of Business

  Pendragon House

  Crescent Road

  Caerphilly

  Mid Glamorgan

  CF83 1XX

  UNITED KINGDOM

  Phone

  +4402920887733

  Web

  https://www.thomascarroll.co.uk

• Complaints Contact

  Pendragon House

  Crescent Road

  Caerphilly

  Mid Glamorgan

  CF83 1XX

  UNITED KINGDOM

  Phone

  +4402920887733

• Investment Advice (no pensions)

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Investment Setup

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Julie Waters

  IRN JXW02585

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 18 Oct 2019)
  • CF1 Director (17 Feb 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (17 Feb 2017 to 30 Sep 2018)
• Kevin Lee Price

  IRN KLP01038

  • CF1 Director (AR) (3 Oct 2016 to 30 Jan 2026)
• Lee Darren Griffin

  IRN LDG01024

  • CF2 Non Executive Director (AR) (27 Mar 2024 to 21 Oct 2025)
  • CF1 Director (AR) (20 Jan 2023 to 27 Mar 2024)
• Mark Bernard Sullivan

  IRN MBS01110

  • SMF3 Executive Director (5 May 2021 to 5 Dec 2025)
  • CF1 Director (AR) (10 Jul 2017 to 16 Dec 2025)
• Natalie Sankala

  IRN NXS00482

  • CF1 Director (AR) (9 Mar 2023 to 21 Oct 2025)
• Nigel Frederick Davies

  IRN NFD01009

  • [FCA CF] CASS oversight function (since 20 Sep 2025)
  • CF2 Non Executive Director (AR) (16 Jun 2011 to 31 Dec 2025)
  • CF28 Systems and controls (1 Nov 2007 to 22 Jul 2013)
  • CF1 Director (24 Mar 2005 to 22 Jul 2013)
  • CF2 Non Executive Director (14 Jan 2005 to 24 Mar 2005)
  • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
• Paul Gardner

  IRN PXG01364

  • CF1 Director (14 Jan 2005 to 31 Jan 2012)
• Raymond Charles Dickens

  IRN RCD01048

  • CF1 Director (14 Jan 2005 to 23 Jan 2015)
• Rhys David Thomas

  IRN RDT01036

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 7 Nov 2019)
  • CF1 Director (AR) (14 Jul 2017 to 31 Dec 2025)
  • Responsible for Insurance Mediation (12 Mar 2012 to 30 Sep 2018)
  • CF1 Director (14 Jan 2005 to 8 Dec 2019)
• Sarah Louise Edwards

  IRN SXE00021

  • CF1 Director (AR) (17 Feb 2023 to 19 Sep 2025)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 19 Sep 2025)

• Mr Michael Powell (no longer appointed)

  FRN 768299 · Appointed 29 Dec 2016 · Until 28 Jul 2021

• Dawsons (no longer appointed)

  FRN 425135 · Appointed 20 Jul 2016 · Until 28 Jul 2021

• Kenneth Lewis Partnership Limited (no longer appointed)

  FRN 750967 · Appointed 24 Jun 2016 · Until 28 Jul 2021

• Dafydd Aled Rees Jones (no longer appointed)

  FRN 730035 · Appointed 23 Dec 2015 · Until 28 Jul 2021

• Michael Hopkin (no longer appointed)

  FRN 726523 · Appointed 24 Nov 2015 · Until 28 Jul 2021

• Thomas, Carroll Management Services Limited (no longer appointed)

  FRN 724707 · Appointed 6 Nov 2015 · Until 30 Jan 2026

• CLC Chartered Surveyors (no longer appointed)

  FRN 588184 · Appointed 5 Nov 2015 · Until 28 Jul 2021

• Mr Anthony Frederick Cutts (no longer appointed)

  FRN 713805 · Appointed 13 Aug 2015 · Until 3 Feb 2016

• Utility Exchange Online Limited (no longer appointed)

  FRN 704343 · Appointed 1 Jun 2015 · Until 5 Jun 2015

• Thomas, Carroll Private Clients Limited (no longer appointed)

  FRN 534775 · Appointed 1 Nov 2010 · Until 31 Dec 2025

No changes recorded yet.