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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Ralph Nash
IRN RAN01049
- (2904)CF14 Risk Assessment (24 May 2005 to 31 Oct 2006)
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Ramesh Chauhan
IRN RXC00031
- (1167)CF22 Investment Adviser (Trainee) (18 Apr 2002 to 11 Nov 2002)
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Ramzy Abu-Eda
IRN RXA00092
- (2976)CF30 Customer (1 Nov 2007 to 16 Sep 2010)
- (2978)CF21 Investment Adviser (27 Jun 2006 to 31 Oct 2007)
- (2977)CF22 Investment Adviser (Trainee) (25 Jan 2006 to 27 Jun 2006)
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Ravinder Hargun
IRN RXH00078
- (644)CF1 Director (AR) (19 May 2006 to 22 Aug 2007)
- (643)CF21 Investment Adviser (1 Dec 2001 to 1 May 2004)
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Raymond Alan Wiggins
IRN RAW00013
- (1506)CF21 Investment Adviser (1 Dec 2001 to 17 Feb 2003)
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Raymond Baxter
IRN RXB00177
- (47)CF30 Customer (1 Nov 2007 to 19 Nov 2007)
- (49)CF21 Investment Adviser (19 May 2005 to 31 Oct 2007)
- (48)CF22 Investment Adviser (Trainee) (16 Dec 2004 to 19 May 2005)
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Raymond Christopher Hallam
IRN RXH00109
- (342)CF30 Customer (28 Jun 2010 to 16 Sep 2010)
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Raymond David Bookbinder
IRN RDB00006
- (656)CF21 Investment Adviser (1 Dec 2001 to 24 Feb 2004)
- (657)CF7 Sole Trader (AR) (1 Dec 2001 to 6 Oct 2004)
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Raymond Henderson
IRN RXH00124
- (1470)CF21 Investment Adviser (4 Jul 2005 to 14 Apr 2006)
- (1469)CF22 Investment Adviser (Trainee) (17 Jan 2005 to 14 Apr 2006)
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Raymond Kevin Millard
IRN RKM00008
- (1467)CF30 Customer (30 Jun 2008 to 31 Dec 2008)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Pioneers Financial Solutions Ltd (no longer appointed)
FRN 222726 · Appointed 10 Feb 2003 · Until 1 Feb 2007
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Aspire Financial Solutions Ltd (no longer appointed)
FRN 222680 · Appointed 7 Feb 2003 · Until 3 Aug 2004
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Hammond Financial Associates Ltd (no longer appointed)
FRN 222292 · Appointed 27 Jan 2003 · Until 21 Oct 2004
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Blue'print Financial Solutions Ltd (no longer appointed)
FRN 222283 · Appointed 23 Jan 2003 · Until 19 Jun 2005
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Eckersley White Independent Estate Agent (no longer appointed)
FRN 222073 · Appointed 16 Jan 2003 · Until 31 Oct 2004
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Countryside Financial Solutions (no longer appointed)
FRN 222003 · Appointed 14 Jan 2003 · Until 2 Sep 2004
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