Nigel Frederick Davies

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Where they hold approval

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

THOMAS, CARROLL (BROKERS) LIMITED
FRN 304860
- [FCA CF] CASS oversight function (since 20 Sep 2025)
- CF2 Non Executive Director (AR) (16 Jun 2011 to 31 Dec 2025)
- CF28 Systems and controls (1 Nov 2007 to 22 Jul 2013)
- CF1 Director (24 Mar 2005 to 22 Jul 2013)
- CF2 Non Executive Director (14 Jan 2005 to 24 Mar 2005)
- CF13 Finance (14 Jan 2005 to 31 Oct 2007)
Thomas, Carroll Private Clients Limited (no longer approved here)
FRN 534775
- Employed By (16 Jun 2011 to 31 Dec 2025)
Thomas, Carroll Independent Financial Advisers Limited (no longer approved here)
FRN 450497
- CF28 Systems and controls (1 Nov 2007 to 29 Apr 2016)
- CF13 Finance (3 Jul 2006 to 31 Oct 2007)

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

No changes recorded yet.

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. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.