Date authorised
1 April 2013
Companies House
03424940
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Aviva
    Wellington Row
    York
    North Yorkshire
    YO90 1WR
    UNITED KINGDOM
    Phone
    +4402072832000
  • Complaints Contact

    Aviva
    Customer Relations
    Wellington Row
    York
    North Yorkshire
    YO90 1WR
    UNITED KINGDOM
    Phone
    +4403453078550

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 1 limitation
    • · 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.
  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Trades With You Directly

    For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 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.
  • Runs Personal Pensions

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Peter Bruce

    IRN PWB01076

    • (1972)CF1 Director (AR) (9 Nov 2004 to 5 Nov 2006)
  • Peter Christian Losing

    IRN PCL00007

    • (32)CF1 Director (AR) (21 Dec 2004 to 16 Apr 2007)
  • Peter Cobley

    IRN PXC00144

    • (764)CF30 Customer (1 Nov 2007 to 19 Sep 2011)
    • (766)CF21 Investment Adviser (19 Sep 2002 to 31 Oct 2007)
    • (765)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Sep 2002)
  • Peter David Stokes

    IRN PDS00032

    • (396)CF22 Investment Adviser (Trainee) (21 Jul 2003 to 19 Jul 2004)
  • Peter Edward Holman

    IRN PEH01056

    • (2338)CF22 Investment Adviser (Trainee) (14 Jul 2003 to 3 Jun 2005)
  • Peter Francis Finnegan

    IRN PFF00001

    • (529)CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • Peter Francis Mulrone

    IRN PFM00008

    • (3218)CF21 Investment Adviser (26 Nov 2003 to 18 Jul 2007)
    • (3217)CF22 Investment Adviser (Trainee) (7 May 2003 to 26 Nov 2003)
    • (3219)CF4 Partner (AR) (7 May 2003 to 18 Jul 2007)
  • Peter French

    IRN PXF00021

    • (693)CF21 Investment Adviser (1 Dec 2001 to 24 Dec 2003)
  • Peter Geoffrey Smith

    IRN PGS00022

    • (1450)CF21 Investment Adviser (6 Jun 2006 to 25 Jul 2006)
    • (1449)CF22 Investment Adviser (Trainee) (29 Jul 2005 to 6 Jun 2006)
  • Peter Graham White

    IRN PGW00006

    • (648)CF7 Sole Trader (AR) (15 Nov 2004 to 30 Mar 2005)
    • (647)CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2004)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

  1. controlled function added: (3559)CF2 Non Executive Director

  2. controlled function added: (3558)CF1 Director (AR)

  3. controlled function added: (3557)CF21 Investment Adviser

  4. controlled function added: (3556)CF16 Significant Mgt (Desgntd Investment Business)

  5. controlled function added: (3555)CF1 Director (AR)

  6. controlled function added: (3554)CF29 Significant management

  7. controlled function added: (3553)CF1 Director

  8. controlled function added: (3552)CF3 Chief Executive

  9. controlled function added: (3551)CF8 Apportionment and Oversight

  10. controlled function added: (3550)[FCA CF] Significant management