Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
AvivaWellington RowYorkNorth YorkshireYO90 1WRUNITED KINGDOM- Phone
- +4402072832000
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Complaints Contact
AvivaCustomer RelationsYorkNorth YorkshireYO90 1WRUNITED KINGDOM- Phone
- +4403453078550
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Pension Transfer Advice
For Professional, Retail (Investment), Rights to or interests in investments (Contractually Based Investments), Unit, Rights to or interests in investments (Security), Stakeholder pension scheme, Life Policy, Personal pension scheme
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
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Investment Advice (no pensions)
For Professional, Retail (Investment), Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Unit, Certificates representing certain security, Rights to or interests in investments (Security), Stakeholder pension scheme, Warrant, Government and public security, Debenture, Share, Life Policy, Personal pension scheme
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
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Mortgage Advice
For Customer, Regulated mortgage contract
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Personal pension scheme
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
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Mortgage Arranging
For Customer, Regulated mortgage contract
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Insurance Admin
For Retail (Non-Investment Insurance), Commercial, Non-investment insurance contracts
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Stockbroking
For Retail (Non-Investment Insurance), Commercial, Non-investment insurance contracts
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Trades With You Directly
For Retail (Investment), Professional, Personal pension scheme, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
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Runs Personal Pensions
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Mortgage Setup
For Customer, Regulated mortgage contract
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Investment Setup
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Certificates representing certain security, Warrant, Government and public security, Debenture, Share, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Non-investment insurance contracts, Personal pension scheme
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
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Richard Faulkner
IRN RJF00014
- (1938)CF1 Director (AR) (2 Jul 2003 to 2 Apr 2006)
- (1937)CF7 Sole Trader (AR) (1 Dec 2001 to 2 Jul 2003)
- (1936)CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2007)
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Richard Fred Dixon
IRN RFD00006
- (3630)CF21 Investment Adviser (15 Aug 2003 to 6 Aug 2007)
- (3631)CF1 Director (AR) (28 Oct 2002 to 6 Aug 2007)
- (3629)CF22 Investment Adviser (Trainee) (28 Oct 2002 to 15 Aug 2003)
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Richard Fuller
IRN RLF00006
- (3274)CF21 Investment Adviser (30 Jun 2004 to 10 Mar 2005)
- (3275)CF1 Director (AR) (20 Oct 2003 to 10 Mar 2005)
- (3273)CF22 Investment Adviser (Trainee) (20 Oct 2003 to 30 Jun 2004)
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Richard Geoffrey English
IRN RGE01031
- (35)SMF5 Head of Internal Audit (since 13 Nov 2023)
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Richard George Clarke
IRN RGC00017
- (2026)CF30 Customer (1 Nov 2007 to 16 Sep 2010)
- (2028)CF21 Investment Adviser (13 Apr 2006 to 31 Oct 2007)
- (2027)CF22 Investment Adviser (Trainee) (21 Sep 2005 to 13 Apr 2006)
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Richard Gerard Caldwell
IRN RGC00019
- (395)CF21 Investment Adviser (1 Dec 2003 to 7 Oct 2005)
- (394)CF22 Investment Adviser (Trainee) (8 May 2003 to 1 Dec 2003)
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Richard Giles Robertson Balding
IRN RGB01134
- (2669)CF30 Customer (24 Feb 2010 to 31 Dec 2012)
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Richard Gilles Evans
IRN RGE01024
- (1956)CF30 Customer (1 Nov 2007 to 1 Oct 2008)
- (1958)CF21 Investment Adviser (20 Jan 2004 to 31 Oct 2007)
- (1957)CF22 Investment Adviser (Trainee) (7 Mar 2003 to 20 Jan 2004)
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Richard Hanlon
IRN RXH00213
- (194)CF21 Investment Adviser (15 Jun 2004 to 7 Jan 2005)
- (193)CF22 Investment Adviser (Trainee) (1 Mar 2004 to 15 Jun 2004)
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Richard James Wakem
IRN RJW00007
- (2104)CF30 Customer (1 Nov 2007 to 14 Dec 2007)
- (2106)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- (2105)CF24 Pension Transfer Specialist (1 Dec 2001 to 17 Dec 2003)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Approved Financial Solutions Ltd (no longer appointed)
FRN 229211 · Appointed 31 Oct 2003 · Until 20 May 2006
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Kymin Mortgage Services Ltd (no longer appointed)
FRN 229117 · Appointed 27 Oct 2003 · Until 24 Feb 2005
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MCM Financial Management Ltd (no longer appointed)
FRN 229118 · Appointed 27 Oct 2003 · Until 2 Sep 2007
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Joseph Wallace Insurance Service (no longer appointed)
FRN 229104 · Appointed 23 Oct 2003 · Until 28 Jul 2005
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Marketing Services (Scotland) Ltd (no longer appointed)
FRN 229101 · Appointed 23 Oct 2003 · Until 24 Jan 2008
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Mortgage Makers (UK) Ltd (no longer appointed)
FRN 228765 · Appointed 2 Oct 2003 · Until 15 Apr 2005
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Clear Thinking Solutions Ltd (no longer appointed)
FRN 228624 · Appointed 24 Sep 2003 · Until 6 Sep 2006
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (3619)SMF2 Chief Finance
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controlled function added: (3618)SMF3 Executive Director
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controlled function added: (3617)Responsible for Insurance Distribution
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controlled function added: (3616)CF10 Compliance Oversight
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controlled function added: (3615)CF4 Partner (AR)
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controlled function added: (3614)[FCA CF] Significant management
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controlled function added: (3613)[FCA CF] Manager of certification employee
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controlled function added: (3612)SMF18 Other Overall Responsibility
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controlled function added: (3611)SMF2 Chief Finance
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controlled function added: (3610)SMF3 Executive Director