This firm is no longer registered as an appointed representative.

It cannot legally carry out FCA-regulated activities. If anyone is currently dealing with this firm as if it still has permission, treat that as a serious red flag and verify directly with the FCA.

Thomas Carroll Independent Financial Advisers Ltd

Watch for changes

FRN: 131482
Last scraped: 4 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

Approved individuals

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

Louise Elizabeth Eedy
IRN LET00001
- Employed By (1 Dec 2001 to 3 Jul 2006)
Mark Adrian Eedy
IRN MAE00005
- Employed By (1 Dec 2001 to 3 Jul 2006)
Nicholas James
IRN NXJ00013
- Employed By (26 Sep 2003 to 2 Mar 2004)
Owain Rhodri Thomas
IRN ORT01004
- Employed By (31 Dec 2003 to 27 Aug 2004)
Peter Charles Harrison
IRN PCH00004
- Employed By (29 Aug 2002 to 21 Jan 2004)
Peter James White
IRN PJW00030
- Employed By (21 Jun 2005 to 12 Oct 2005)
Robert John Szpadt
IRN RJS00031
- Employed By (23 Dec 1999 to 29 Oct 2002)
Roberto Gelsomini
IRN RXG00078
- Employed By (1 Oct 1998 to 8 Oct 2003)

Recent activity

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

No changes recorded yet.

What it all means

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.