Aviva Administration Limited

FRN: 185746
Date authorised: 1 April 2013
Companies House: 03424940
Last scraped: 2 days ago

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

Web

https://www.aviva.co.uk
Complaints Contact

Aviva

Customer Relations

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), 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.
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.
Mortgage Advice

For Customer, Regulated mortgage contract
Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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.
Mortgage Arranging

For Customer, Regulated mortgage contract
Insurance Admin

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

For Retail (Non-Investment Insurance), Commercial, Non-investment insurance contracts
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.
Runs Personal Pensions
Mortgage Setup

For Customer, Regulated mortgage contract
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.

Richard Lloyd
IRN RML01106
- (1923)[FCA CF] Functions requiring qualifications (1 Mar 2022 to 1 Oct 2023)
Richard Malcolm Scott-Worthington
IRN RMS00040
- (2147)CF30 Customer (1 Nov 2007 to 21 Nov 2008)
- (2149)CF21 Investment Adviser (9 Jan 2006 to 31 Oct 2007)
- (2148)CF22 Investment Adviser (Trainee) (31 Mar 2005 to 9 Jan 2006)
Richard Neil Kirby
IRN RNK00002
- (322)CF22 Investment Adviser (Trainee) (23 Sep 2003 to 30 Apr 2004)
Richard Nicholas John Ward
IRN RNW00005
- (435)CF30 Customer (1 Nov 2007 to 13 Jan 2010)
- (437)CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
- (436)CF22 Investment Adviser (Trainee) (21 Sep 2005 to 26 Jun 2006)
Richard Norman Notley
IRN RNN00001
- (957)CF21 Investment Adviser (8 Oct 2002 to 12 Mar 2004)
Richard Owen Cook
IRN ROC00001
- (1501)CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2002)
Richard Paul Priestley
IRN RPP01047
- (55)SMF4 Chief Risk (since 15 May 2023)
Richard Priestley
IRN RJP01230
- (3403)SMF1 Chief Executive (16 Apr 2021 to 31 May 2023)
- (3400)Responsible for Insurance Distribution (16 Apr 2021 to 31 May 2023)
- (3401)SMF3 Executive Director (24 Mar 2020 to 31 May 2023)
- (3402)SMF2 Chief Finance (24 Mar 2020 to 10 May 2021)
Richard STANIFORD
IRN RDS00020
- (1973)[FCA CF] Functions requiring qualifications (5 May 2023 to 1 Oct 2023)
Richard Stuart Wilding
IRN RSW00022
- (439)CF21 Investment Adviser (9 Jun 2004 to 30 Jul 2007)
- (440)CF1 Director (AR) (3 Jun 2003 to 26 Sep 2006)
- (438)CF22 Investment Adviser (Trainee) (3 Jun 2003 to 9 Jun 2004)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Tony Walker Financial Planning Services (no longer appointed)
FRN 401070 · Appointed 25 May 2004 · Until 27 Jun 2007
Martin Currington Estate Agents (no longer appointed)
FRN 401003 · Appointed 20 May 2004 · Until 9 Oct 2006
Donohue Financial Planning Limited (no longer appointed)
FRN 231998 · Appointed 2 Mar 2004 · Until 1 Apr 2006
Elliots Financial Services (no longer appointed)
FRN 231916 · Appointed 27 Feb 2004 · Until 8 Apr 2006
Axa Sun Life Direct Ltd (no longer appointed)
FRN 151628 · Appointed 25 Feb 2004 · Until 7 Apr 2011
McKenzie Arthur Financial Management (no longer appointed)
FRN 231835 · Appointed 23 Feb 2004 · Until 22 Dec 2004
Carleton Independent Financial Advisors (no longer appointed)
FRN 231366 · Appointed 30 Jan 2004 · Until 3 Mar 2006
Sound Financial Solutions Ltd (no longer appointed)
FRN 231030 · Appointed 15 Jan 2004 · Until 19 Nov 2006
Cooper & Boreham Financial Planning Ltd (no longer appointed)
FRN 231007 · Appointed 14 Jan 2004 · Until 30 Nov 2005
Lion Financial Services (no longer appointed)
FRN 229747 · Appointed 25 Nov 2003 · Until 20 Dec 2004

Recent activity

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

2 days ago
controlled function added: (39)SMF17 Money Laundering Reporting Officer (MLRO)
2 days ago
controlled function added: (38)[FCA CF] Significant management
2 days ago
controlled function added: (37)SMF18 Other Overall Responsibility
2 days ago
controlled function added: (36)[FCA CF] Manager of certification employee
2 days ago
controlled function added: (35)SMF5 Head of Internal Audit
2 days ago
controlled function added: (34)SMF16 Compliance Oversight
2 days ago
controlled function added: (33)SMF7 Group Entity Senior Manager
2 days ago
controlled function added: (32)[FCA CF] CASS oversight function
2 days ago
controlled function added: (31)[FCA CF] Significant management
2 days ago
controlled function added: (30)[FCA CF] Significant management

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.