Mark Adrian Eedy

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, Carroll Independent Financial Advisers Limited

    FRN 450497

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • CF24 Pension Transfer Specialist (3 Jul 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
    • CF1 Director (3 Jul 2006 to 8 Dec 2019)
  • Thomas Carroll Independent Financial Advisers Ltd (no longer approved here)

    FRN 131482

    • Employed By (1 Dec 2001 to 3 Jul 2006)

Recent activity

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

No changes recorded yet.