THOMAS, CARROLL (BROKERS) LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Authorised to Operate
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- · 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

Senior staff personally approved by the FCA to hold their roles here.

Simon Colin Bradwick
IRN SCB01161
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (AR) (31 Jan 2023 to 21 Oct 2025)
- CF1 Director (23 Mar 2012 to 8 Dec 2019)
Simon Richard Atkins
IRN SRA01050
- CF1 Director (14 Jan 2005 to 13 Apr 2011)
Stuart Charles Love
IRN SCL01048
- CF1 Director (14 Jan 2005 to 11 Aug 2006)
- Responsible for Insurance Mediation (14 Jan 2005 to 11 Aug 2006)

Smaller firms operating under this firm's FCA authorisation.

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

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.