THOMAS, CARROLL (BROKERS) LIMITED

Date authorised
1 April 2013
Companies House
04062827
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

    Show 1 limitation
    • · 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

Approved individuals

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

  • 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)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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