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
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- · 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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Stewart Douglas Burton
IRN SDB00012
- (292)CF22 Investment Adviser (Trainee) (10 Apr 2003 to 12 May 2003)
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Stewart George Attwood
IRN SGA00019
- (1377)CF30 Customer (23 Jan 2009 to 16 Sep 2010)
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Stewart Stephen Calder
IRN SSC01015
- (407)CF29 Significant management (6 May 2011 to 25 Mar 2014)
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Struan MacKenzie
IRN SXM85883
- (2069)[FCA CF] Functions requiring qualifications (1 Mar 2022 to 1 Oct 2023)
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Stuart Adrian Spencer
IRN SXS01765
- (314)CF21 Investment Adviser (25 Apr 2006 to 11 May 2007)
- (313)CF22 Investment Adviser (Trainee) (29 Mar 2005 to 25 Apr 2006)
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Stuart Craig
IRN SGC01053
- (2585)CF16 Significant Mgt (Desgntd Investment Business) (23 Nov 2006 to 28 Jun 2007)
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Stuart Edward Anderson
IRN SEA01020
- (413)CF30 Customer (10 Apr 2008 to 31 Dec 2008)
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Stuart Graham Adamson
IRN SGA00001
- (42)CF30 Customer (10 Dec 2009 to 16 Sep 2010)
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Stuart Howard King
IRN SXK02552
- (1927)CF1 Director (15 Feb 2016 to 26 Jan 2017)
- (1926)CF10 Compliance Oversight (24 Nov 2015 to 15 Feb 2016)
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Stuart Ian McKellar
IRN SXM01366
- (2344)[FCA CF] Significant management (24 May 2023 to 28 Apr 2026)
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: (3569)CF1 Director
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controlled function added: (3568)CF15 Internal Audit
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controlled function added: (3567)CF1 Director (AR)
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controlled function added: (3566)CF2 Non Executive Director
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controlled function added: (3565)CF28 Systems and controls
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controlled function added: (3564)[FCA CF] Manager of certification employee
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controlled function added: (3563)CF1 Director (AR)
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controlled function added: (3562)SMF24 Chief Operations
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controlled function added: (3561)CF1 Director (AR)
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controlled function added: (3560)SMF24 Chief Operations