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
Show 1 limitation Hide limitations
- · 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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Stephen Paul Wright
IRN SPW00039
- (545)CF30 Customer (5 Oct 2009 to 16 Sep 2010)
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Stephen Richard Edwards
IRN SRE01010
- (203)Responsible for Insurance Mediation (6 Jul 2005 to 31 Dec 2009)
- (205)CF1 Director (24 May 2004 to 31 Dec 2009)
- (204)CF16 Significant Mgt (Desgntd Investment Business) (8 Apr 2004 to 24 May 2004)
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Stephen Robert Grant
IRN SXG00081
- (1305)CF21 Investment Adviser (30 Jan 2004 to 13 May 2005)
- (1304)CF22 Investment Adviser (Trainee) (30 Sep 2003 to 30 Jan 2004)
- (1306)CF1 Director (AR) (30 Sep 2003 to 24 Apr 2006)
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Stephen Shone
IRN SXS01255
- (3499)Responsible for Insurance Mediation (13 Apr 2015 to 27 Nov 2015)
- (3500)CF29 Significant management (13 Apr 2015 to 27 Nov 2015)
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Stephen Terence Chiles
IRN STC00010
- (2813)CF30 Customer (1 Nov 2007 to 31 Dec 2008)
- (2814)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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Stephen Thomas McDowell
IRN STM00022
- (905)CF21 Investment Adviser (5 Aug 2005 to 7 Feb 2006)
- (906)CF1 Director (AR) (2 Sep 2004 to 4 Aug 2005)
- (904)CF22 Investment Adviser (Trainee) (2 Sep 2004 to 5 Aug 2005)
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Stephen Whalen
IRN SXW00134
- (2265)CF21 Investment Adviser (1 Oct 2003 to 13 Jul 2005)
- (2264)CF22 Investment Adviser (Trainee) (19 May 2003 to 1 Oct 2003)
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Stephen William Barrett
IRN SWB00001
- (163)CF1 Director (AR) (5 May 2004 to 20 Jul 2007)
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Stephen William Davidson
IRN SWD00012
- (3608)CF21 Investment Adviser (13 Jul 2007 to 14 Aug 2007)
- (3609)CF1 Director (AR) (11 Sep 2006 to 14 Aug 2007)
- (3607)CF22 Investment Adviser (Trainee) (11 Sep 2006 to 13 Jul 2007)
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Stephen Winship
IRN SXW00053
- (1045)CF21 Investment Adviser (26 Jan 2006 to 3 Jun 2006)
- (1044)CF22 Investment Adviser (Trainee) (15 Jul 2005 to 26 Jan 2006)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Froggett Financial Mortgage Services Ltd (no longer appointed)
FRN 209806 · Appointed 18 Feb 2003 · Until 23 Feb 2005
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M & N Financial Consultancy (no longer appointed)
FRN 216762 · Appointed 18 Feb 2003 · Until 9 Aug 2005
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Cameron Scott Healthcare Ltd (no longer appointed)
FRN 209808 · Appointed 18 Feb 2003 · Until 14 Jan 2005
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Alexander Knight Financial Management (no longer appointed)
FRN 216694 · Appointed 18 Feb 2003 · Until 30 Aug 2007
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Albrighton Wealth Management Limited (no longer appointed)
FRN 214281 · Appointed 18 Feb 2003 · Until 23 Aug 2007
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Ash Financial Solutions (no longer appointed)
FRN 214265 · Appointed 18 Feb 2003 · Until 29 Jun 2005
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David Dumble & Associates (no longer appointed)
FRN 211872 · Appointed 18 Feb 2003 · Until 10 Dec 2005
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Lyons Financial Management Ltd (no longer appointed)
FRN 210757 · Appointed 18 Feb 2003 · Until 15 Jul 2007
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