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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Robert Fairgrieve Wilson
IRN RFW00016
- (803)CF30 Customer (6 Nov 2009 to 16 Sep 2010)
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Robert Fish
IRN RXB85909
- (2056)[FCA CF] Functions requiring qualifications (1 Mar 2022 to 31 Jan 2023)
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Robert Gavin Calder
IRN RGC01063
- (1153)CF21 Investment Adviser (20 May 2003 to 2 Sep 2005)
- (1152)CF22 Investment Adviser (Trainee) (24 Apr 2002 to 20 May 2003)
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Robert Gordon Styles
IRN RGS00009
- (1098)CF21 Investment Adviser (2 May 2002 to 10 May 2002)
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Robert Govier
IRN RXG01232
- (2294)CF4 Partner (AR) (26 Jul 2002 to 8 Dec 2005)
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Robert Graham Dench
IRN RGD01025
- (3600)CF2 Non Executive Director (1 Nov 2004 to 15 Sep 2010)
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Robert Howard King
IRN RHK00006
- (3441)CF22 Investment Adviser (Trainee) (26 Jan 2004 to 20 Dec 2004)
- (3442)CF1 Director (AR) (26 Jan 2004 to 19 Nov 2006)
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Robert James Atkins
IRN RJA00037
- (3042)CF30 Customer (23 Jan 2009 to 16 Sep 2010)
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Robert James Boland
IRN RJB01474
- (2715)CF30 Customer (13 Oct 2009 to 16 Sep 2010)
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Robert James Elliott
IRN RJE00023
- (481)CF21 Investment Adviser (16 Mar 2004 to 23 Sep 2005)
- (480)CF22 Investment Adviser (Trainee) (16 Jun 2003 to 16 Mar 2004)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Life Investments Limited (no longer appointed)
FRN 400268 · Appointed 25 Oct 2004 · Until 1 Jul 2007
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Plan & Prosper Financial Services (no longer appointed)
FRN 409183 · Appointed 12 Oct 2004 · Until 4 May 2006
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (19)[FCA CF] Significant management
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controlled function added: (18)[FCA CF] Client dealing
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controlled function added: (17)[FCA CF] Manager of certification employee
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controlled function added: (16)[FCA CF] Manager of certification employee
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controlled function added: (15)[FCA CF] Significant management
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controlled function added: (14)[FCA CF] Significant management
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controlled function added: (13)[FCA CF] Significant management
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controlled function added: (12)[FCA CF] Significant management
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controlled function added: (11)[FCA CF] Significant management
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controlled function added: (10)[FCA CF] Significant management