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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Vijay Jaykishan Rathod
IRN VJR00009
- (1364)CF4 Partner (AR) (1 Dec 2001 to 23 Sep 2002)
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Vincent Lawrence
IRN VWL00001
- (2066)CF30 Customer (1 Nov 2007 to 19 Nov 2007)
- (2068)CF21 Investment Adviser (18 Apr 2005 to 31 Oct 2007)
- (2067)CF22 Investment Adviser (Trainee) (9 Jan 2003 to 18 Apr 2005)
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Vincent Peacock
IRN VXP00010
- (902)CF21 Investment Adviser (13 Sep 2004 to 12 Nov 2006)
- (901)CF22 Investment Adviser (Trainee) (6 Apr 2004 to 13 Sep 2004)
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Vincent Wayne Parker
IRN VWP00003
- (2413)CF21 Investment Adviser (12 Jul 2004 to 25 Apr 2005)
- (2414)CF1 Director (AR) (21 Feb 2003 to 25 Apr 2005)
- (2412)CF22 Investment Adviser (Trainee) (21 Feb 2003 to 12 Jul 2004)
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Vinod Khanna
IRN VXK00004
- (660)CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2003)
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Vito Antonio Mennella
IRN VAM01037
- (2611)[FCA CF] Manager of certification employee (17 Jul 2025 to 1 Dec 2025)
- (2612)[FCA CF] Significant management (14 Aug 2023 to 1 Dec 2025)
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Walter Thomson
IRN WXT00003
- (710)CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2003)
- (711)CF1 Director (AR) (1 Dec 2001 to 18 Nov 2003)
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Warren James Bentham
IRN WJB01051
- (2756)CF21 Investment Adviser (30 Nov 2005 to 30 Jul 2007)
- (2755)CF22 Investment Adviser (Trainee) (2 Mar 2005 to 30 Nov 2005)
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Wayne Clinton Tonge
IRN WCT00003
- (3638)CF21 Investment Adviser (31 Jul 2003 to 1 Jan 2006)
- (3637)CF22 Investment Adviser (Trainee) (23 Jun 2003 to 31 Jul 2003)
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Wayne Kincaide
IRN WXK00016
- (1394)CF21 Investment Adviser (5 Aug 2002 to 30 Apr 2004)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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AXA PPP Healthcare Limited (no longer appointed)
FRN 195945 · Appointed 22 Jun 2001 · Until 17 Feb 2003
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Oldham Athletic Association Football Club Limited (no longer appointed)
FRN 206239 · Appointed 15 Jun 2001 · Until 5 Jul 2002
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AXA Direct Insurance Limited (no longer appointed)
FRN 206227 · Appointed 4 Jun 2001 · Until 17 Feb 2003
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Mortgage Choice Scotland (no longer appointed)
FRN 195822 · Appointed 30 May 2001 · Until 15 Apr 2005
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