Thomas, Carroll Independent Financial Advisers Limited

Date authorised
1 April 2013
Companies House
02142023
Last scraped
2 weeks ago
Watch for changes

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.

  • 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

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

  • Nigel Frederick Davies

    IRN NFD01009

    • CF28 Systems and controls (1 Nov 2007 to 29 Apr 2016)
    • CF13 Finance (3 Jul 2006 to 31 Oct 2007)
  • Peter James White

    IRN PJW00030

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (3 Jul 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • Rhys David Thomas

    IRN RDT01036

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (23 Aug 2018 to 8 Dec 2019)
  • Stephen Mark Francis

    IRN SMF00030

    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Apr 2021 to 9 Apr 2021)
    • SMF3 Executive Director (9 Dec 2019 to 9 Apr 2021)
    • CF1 Director (29 Feb 2016 to 8 Dec 2019)
    • CF30 Customer (28 Jun 2010 to 8 Dec 2019)
  • Todd Rowlands

    IRN TXR01121

    • Director of firm who is not a certification employee or a SMF manager (since 4 Mar 2026)
  • Tom Bevan

    IRN TXB00364

    • [FCA CF] Client dealing (7 Jun 2022 to 31 Aug 2022)
    • [FCA CF] Functions requiring qualifications (7 Jun 2022 to 31 Aug 2022)

Recent activity

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

No changes recorded yet.