Darren Lloyd Thomas

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • THOMAS & THOMAS FINANCIAL SERVICES LIMITED

    FRN 479335

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Apr 2008 to 8 Dec 2019)
    • CF1 Director (1 Apr 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2008 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Apr 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Apr 2008 to 30 Sep 2018)
  • Tom French & Associates Limited (no longer approved here)

    FRN 185513

    • CF30 Customer (1 Nov 2007 to 28 Mar 2008)
    • CF21 Investment Adviser (9 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (15 Nov 2006 to 9 May 2007)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF21 Investment Adviser (1 Dec 2005 to 10 Nov 2006)
    • CF22 Investment Adviser (Trainee) (9 Feb 2005 to 1 Dec 2005)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2002)

Recent activity

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

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