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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Shaun Robert Atkins
IRN SRA00008
- (783)CF1 Director (AR) (28 Mar 2003 to 3 Mar 2004)
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Sherif Sayed Aziz Omar
IRN SSO01013
- (1935)[FCA CF] Functions requiring qualifications (1 Jan 2021 to 30 Jun 2023)
- (1934)[FCA CF] Client dealing (1 Jan 2021 to 30 Jun 2023)
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Sherwin Samavat
IRN SXS05657
- (17)[FCA CF] Manager of certification employee (since 1 Jul 2025)
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Shirley Drysdale
IRN SXD00118
- (1734)CF30 Customer (9 Dec 2009 to 16 Sep 2010)
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Shirley Joy Durow
IRN SJD01248
- (1796)CF22 Investment Adviser (Trainee) (17 Oct 2006 to 28 Feb 2007)
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Sian Sharpe
IRN SXG01273
- (4)CF30 Customer (24 Sep 2009 to 16 Sep 2010)
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Sidney Ralph Howe
IRN SRH00016
- (317)CF1 Director (AR) (5 Sep 2003 to 17 May 2007)
- (316)CF21 Investment Adviser (1 Dec 2001 to 17 May 2007)
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Simon Brian Davies
IRN SBD01035
- (1670)CF30 Customer (29 Jan 2015 to 20 Jul 2015)
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Simon Charles Mann
IRN SCM00002
- (1653)CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2003)
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Simon Ellis
IRN SME00004
- (2982)CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2003)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Qunatum 3 Financial Services (no longer appointed)
FRN 221490 · Appointed 20 Dec 2002 · Until 1 Oct 2003
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Henley Financial Services (no longer appointed)
FRN 221418 · Appointed 17 Dec 2002 · Until 1 Oct 2004
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Barker Lewis Associates (no longer appointed)
FRN 221403 · Appointed 16 Dec 2002 · Until 15 May 2006
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North Star Financial Solutions Ltd (no longer appointed)
FRN 221399 · Appointed 16 Dec 2002 · Until 1 Aug 2005
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Homesearch Direct (Financial Services) Ltd (no longer appointed)
FRN 221367 · Appointed 13 Dec 2002 · Until 21 Apr 2005
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Chambers Financial Services (no longer appointed)
FRN 221369 · Appointed 13 Dec 2002 · Until 16 Aug 2005
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (3639)CF2 Non Executive Director
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controlled function added: (3638)CF21 Investment Adviser
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controlled function added: (3637)CF22 Investment Adviser (Trainee)
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controlled function added: (3636)CF4 Partner (AR)
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controlled function added: (3635)CF2 Non Executive Director
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controlled function added: (3634)CF2 Non Executive Director
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controlled function added: (3633)[FCA CF] Significant management
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controlled function added: (3632)SMF3 Executive Director
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controlled function added: (3631)CF1 Director (AR)
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controlled function added: (3630)CF21 Investment Adviser