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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Richard Anthony Cooper
IRN RAC00005
- (1647)CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
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Richard Anthony Cornwell
IRN RAC00046
- (3210)CF21 Investment Adviser (21 Aug 2003 to 15 May 2006)
- (3209)CF22 Investment Adviser (Trainee) (23 Dec 2002 to 21 Aug 2003)
- (3211)CF7 Sole Trader (AR) (23 Dec 2002 to 15 May 2006)
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Richard Anthony Judd
IRN RAJ00003
- (2130)CF1 Director (AR) (1 Dec 2001 to 25 Aug 2002)
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Richard Barnes
IRN RXB00178
- (2417)CF21 Investment Adviser (1 Dec 2001 to 17 May 2007)
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Richard Barrett
IRN RXB00136
- (738)CF21 Investment Adviser (21 Oct 2003 to 27 Aug 2004)
- (737)CF22 Investment Adviser (Trainee) (10 Apr 2003 to 21 Oct 2003)
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Richard Behan
IRN RPB00004
- (3446)CF7 Sole Trader (AR) (1 Dec 2001 to 14 Nov 2005)
- (3445)CF21 Investment Adviser (1 Dec 2001 to 27 Aug 2007)
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Richard Bond
IRN RXB00170
- (2578)CF30 Customer (1 Nov 2007 to 16 Sep 2010)
- (2580)CF21 Investment Adviser (23 Aug 2005 to 31 Oct 2007)
- (2579)CF22 Investment Adviser (Trainee) (17 Jan 2005 to 23 Aug 2005)
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Richard Brocklehurst
IRN RFB01046
- (3325)CF21 Investment Adviser (5 Nov 2003 to 27 May 2005)
- (3324)CF22 Investment Adviser (Trainee) (22 Feb 2002 to 5 Nov 2003)
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Richard David Grey
IRN RDG00019
- (3478)CF1 Director (AR) (13 Jun 2007 to 15 Jul 2007)
- (3476)CF21 Investment Adviser (18 Dec 2002 to 15 Jul 2007)
- (3477)CF7 Sole Trader (AR) (15 Jul 2002 to 31 Jan 2007)
- (3475)CF22 Investment Adviser (Trainee) (13 Feb 2002 to 18 Dec 2002)
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Richard Ernest Bellamy
IRN REB00021
- (232)CF21 Investment Adviser (11 May 2005 to 13 Feb 2006)
- (231)CF22 Investment Adviser (Trainee) (26 Jan 2004 to 11 May 2005)
- (233)CF1 Director (AR) (26 Jan 2004 to 19 Nov 2006)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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AXA PPP Healthcare Group Limited (no longer appointed)
FRN 407453 · Appointed 1 Mar 2007 · Until 7 Apr 2011
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William Battle Associates Ltd (no longer appointed)
FRN 461116 · Appointed 11 Dec 2006 · Until 24 Jan 2008
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Integrity Morgages & Financial Services Ltd (no longer appointed)
FRN 456811 · Appointed 5 Sep 2006 · Until 14 Aug 2007
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Irvine Wright Financial Services (no longer appointed)
FRN 454302 · Appointed 6 Jul 2006 · Until 30 Jul 2007
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Royal British Legion Trading Limited (no longer appointed)
FRN 423187 · Appointed 20 Jun 2006 · Until 23 Mar 2011
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Fraser Reeves Estate Agents (no longer appointed)
FRN 412613 · Appointed 7 Jun 2006 · Until 21 Apr 2007
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Community Bank Financial Services Ltd (no longer appointed)
FRN 452172 · Appointed 18 May 2006 · Until 22 Aug 2007
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (49)SMF18 Other Overall Responsibility
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controlled function added: (48)SMF2 Chief Finance
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controlled function added: (47)SMF3 Executive Director
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controlled function added: (46)SMF24 Chief Operations
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controlled function added: (45)[FCA CF] Significant management
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controlled function added: (44)SMF9 Chair of the Governing Body
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controlled function added: (43)SMF7 Group Entity Senior Manager
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controlled function added: (42)SMF1 Chief Executive
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controlled function added: (41)SMF3 Executive Director
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controlled function added: (40)Responsible for Insurance Distribution