Thomas, Carroll Independent Financial Advisers 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

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• 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, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Ashley Edward Connor

  IRN AEC01092

  • 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)
  • [FCA CF] Functions requiring qualifications (since 23 May 2022)
  • [FCA CF] Client dealing (since 23 May 2022)
• Christian Brooke

  IRN CXB00604

  • [FCA CF] Functions requiring qualifications (29 Apr 2024 to 15 Nov 2024)
  • [FCA CF] Client dealing (29 Apr 2024 to 15 Nov 2024)
• Craig Lee Butler

  IRN CLB01065

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Oct 2021)
  • SMF3 Executive Director (since 29 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Aug 2018 to 8 Dec 2019)
• Damian Paul Sharp

  IRN DPS00056

  • Director of firm who is not a certification employee or a SMF manager (since 4 Mar 2026)
• David Henry Griffith

  IRN DXG00062

  • CF1 Director (6 Sep 2012 to 31 Dec 2013)
• David Jeffrey Churchill

  IRN DJC01276

  • CF30 Customer (3 Jan 2012 to 9 Jul 2012)
• John Moore

  IRN JXM02207

  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 4 Oct 2018)
  • Responsible for Insurance Mediation (5 Jul 2006 to 30 Sep 2018)
  • CF1 Director (3 Jul 2006 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Jul 2006 to 31 Mar 2009)
• Louise Elizabeth Eedy

  IRN LET00001

  • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jul 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jul 2020)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2021)
  • Responsible for Insurance Distribution (5 Oct 2018 to 21 Jul 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (3 Jul 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Jul 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jul 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (3 Jul 2006 to 31 Oct 2007)
• Mark Adrian Eedy

  IRN MAE00005

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 1 Apr 2021)
  • Responsible for Insurance Distribution (since 1 Apr 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (26 Jun 2021 to 8 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (3 Jul 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (3 Jul 2006 to 31 Oct 2007)
• Nicholas James

  IRN NXJ00013

  • CF21 Investment Adviser (3 Jul 2006 to 28 Aug 2006)
  • CF1 Director (3 Jul 2006 to 28 Aug 2006)

No changes recorded yet.