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
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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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Philip Strone Stewart MacPherson
IRN SXM01658
- (500)CF2 Non Executive Director (1 Dec 2001 to 20 Feb 2002)
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Philip William Taylor
IRN PWT00007
- (684)CF21 Investment Adviser (1 Dec 2001 to 9 Sep 2003)
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Philippe Louis Herbert Maso Y Guell Rivet
IRN PLM01028
- (493)CF28 Systems and controls (1 Nov 2007 to 11 Apr 2008)
- (494)CF14 Risk Assessment (22 Feb 2005 to 31 Oct 2007)
- (495)CF1 Director (13 Jun 2003 to 11 Apr 2008)
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Phillip Desmond Thomas
IRN PDT00013
- (245)CF22 Investment Adviser (Trainee) (15 Dec 2003 to 1 May 2004)
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Phillip John Harris
IRN PJH00015
- (599)CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2004)
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Phillip Richard Maidwell
IRN PRM01121
- (1741)CF30 Customer (26 Aug 2008 to 16 Sep 2010)
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Pierre Andre Land
IRN PAL00010
- (3480)CF22 Investment Adviser (Trainee) (21 Sep 2005 to 17 Feb 2006)
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Pramesh Nathalal Dhokia
IRN PND00006
- (499)CF21 Investment Adviser (4 Nov 2005 to 1 Jun 2007)
- (498)CF22 Investment Adviser (Trainee) (17 Jan 2005 to 4 Nov 2005)
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Rachael Arnold
IRN RXJ00051
- (1705)CF30 Customer (23 Jan 2009 to 16 Sep 2010)
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Rachael Bailey- Manning
IRN RXB01593
- (3128)CF30 Customer (1 Nov 2007 to 16 Sep 2010)
- (3130)CF21 Investment Adviser (9 Jan 2006 to 31 Oct 2007)
- (3129)CF22 Investment Adviser (Trainee) (17 Jan 2005 to 9 Jan 2006)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Face 2 Face Financial Solutions Ltd (no longer appointed)
FRN 402343 · Appointed 22 Jul 2004 · Until 26 Oct 2006
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Assured Financial Solutions UK Ltd (no longer appointed)
FRN 401733 · Appointed 30 Jun 2004 · Until 25 Apr 2005
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Compass Financial Planning Limited (no longer appointed)
FRN 401672 · Appointed 29 Jun 2004 · Until 25 Mar 2006
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Malcolm James & Partners Estate Agents (no longer appointed)
FRN 201462 · Appointed 21 Jun 2004 · Until 24 Jan 2008
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Case (UK) Corporation Ltd (no longer appointed)
FRN 401336 · Appointed 10 Jun 2004 · Until 16 Apr 2007
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Parklane Mortgage & Financial Exchange (no longer appointed)
FRN 401208 · Appointed 3 Jun 2004 · Until 2 Aug 2007
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Alan Bell Mortgages Ltd (no longer appointed)
FRN 401092 · Appointed 26 May 2004 · Until 31 Oct 2004
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Tony Walker Financial Planning Services (no longer appointed)
FRN 401070 · Appointed 25 May 2004 · Until 27 Jun 2007
Recent activity
Updates to this firm's record on the FCA register.
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trading name added: AXA Winterthur Wealth Management
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trading name added: AXA Sun Life Direct
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trading name added: AXA Group
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trading name added: AXA Equity & Law
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trading name added: AXA Direct
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trading name added: AXA Assurance
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trading name added: Aviva Financial Advice
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trading name added: Friends Life Services Limited
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trading name added: AXA Sun Life Services Plc
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trading name added: Yorkshire Financial Advisory Service