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 Private Clients Limited

Watch for changes

FRN: 534775
Companies House: 04072637
Last scraped: 4 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Crescent Road

Caerphilly

South Wales

CF83 1XX

UNITED KINGDOM

Phone

+4402920887733

Web

https://www.thomascarroll.co.uk

Approved individuals

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

Alison Jane Davies
IRN AJD01270
- Employed By (3 Jun 2011 to 19 Dec 2025)
Barrie McCarthey
IRN BXM01639
- Employed By (3 Jun 2011 to 16 Dec 2025)
Claire Maria Humphries
IRN CMH01162
- Employed By (28 Mar 2012 to 26 Jun 2020)
John Moore
IRN JXM02207
- Employed By (13 Jun 2011 to 31 Dec 2019)
Nigel Frederick Davies
IRN NFD01009
- Employed By (16 Jun 2011 to 31 Dec 2025)
Rhys David Thomas
IRN RDT01036
- Employed By (17 Jul 2017 to 31 Dec 2025)

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.