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.

LSL Corporate Client Services Limited
FRN 537825 · Appointed 19 Apr 2024
TCi Futures Limited (no longer appointed)
FRN 990237 · Appointed 18 Jan 2023 · Until 22 Oct 2025
Holder Property Services Limited (no longer appointed)
FRN 815332 · Appointed 2 Aug 2018 · Until 28 Jul 2021
2 exP Financial Services Ltd (no longer appointed)
FRN 753301 · Appointed 29 Jun 2018 · Until 28 Jul 2021
Tailleur-Made LTD (no longer appointed)
FRN 732264 · Appointed 26 Jun 2018 · Until 28 Jul 2021
Christopher Lewis Seldon (no longer appointed)
FRN 808375 · Appointed 14 Jun 2018 · Until 19 Jul 2018
Watches of Wales Limited (no longer appointed)
FRN 800230 · Appointed 31 Jan 2018 · Until 28 Jul 2021
Gareth's Grassland Advisory Service Limited (no longer appointed)
FRN 800245 · Appointed 31 Jan 2018 · Until 28 Jul 2021
Rapleys LLP (no longer appointed)
FRN 411760 · Appointed 30 Jan 2018 · Until 28 Jul 2021
Thomas Carroll Brokers Swansea Limited (no longer appointed)
FRN 783119 · Appointed 1 Jul 2017 · 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.