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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Thomas Edward West
IRN TXW00077
- (2521)[FCA CF] Manager of certification employee (1 Jul 2025 to 2 Jul 2025)
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Thomas Freeland
IRN TXF00018
- (297)CF21 Investment Adviser (19 Mar 2004 to 12 Aug 2007)
- (296)CF22 Investment Adviser (Trainee) (6 Nov 2003 to 19 Mar 2004)
- (298)CF4 Partner (AR) (6 Nov 2003 to 12 Aug 2007)
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Thomas Ian Marshall
IRN TIM00006
- (1204)CF21 Investment Adviser (19 Jul 2005 to 7 Jul 2006)
- (1203)CF22 Investment Adviser (Trainee) (20 Jan 2005 to 19 Jul 2005)
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Thomas James John Rooney
IRN TJR01064
- (3474)CF21 Investment Adviser (7 May 2003 to 3 Feb 2006)
- (3473)CF22 Investment Adviser (Trainee) (18 Jul 2002 to 7 May 2003)
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Thomas John Atkins
IRN TXA00006
- (2499)CF7 Sole Trader (AR) (28 Sep 2004 to 31 Jan 2007)
- (2498)CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2007)
- (2500)CF4 Partner (AR) (1 Dec 2001 to 28 Sep 2004)
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Thomas John Boucher
IRN TJB00005
- (1949)CF21 Investment Adviser (1 Dec 2001 to 12 Jul 2007)
- (1950)CF1 Director (AR) (1 Dec 2001 to 12 Jul 2007)
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Thomas Joseph Lorello
IRN TXL00015
- (677)CF21 Investment Adviser (1 Dec 2001 to 9 Apr 2007)
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Thomas Joseph O'Connor
IRN TJO00006
- (625)CF21 Investment Adviser (1 Dec 2001 to 2 Sep 2007)
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Thomas Limb
IRN TXL00014
- (682)CF21 Investment Adviser (26 Mar 2007 to 22 Jul 2007)
- (681)CF24 Pension Transfer Specialist (1 Dec 2001 to 11 Aug 2004)
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Thomas Martin Campbell
IRN TMC00004
- (597)CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2004)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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UIA (Insurance Services) Limited (no longer appointed)
FRN 201309 · Appointed 4 Jun 1999 · Until 20 Jul 2004
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Mike Smith Insurance Services and Estate Agents (no longer appointed)
FRN 201290 · Appointed 10 May 1999 · Until 31 Oct 2004
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Action Mortgage & Finance (no longer appointed)
FRN 192824 · Appointed 1 Oct 1998 · Until 12 Dec 2002
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Lea Property Services Limited (no longer appointed)
FRN 192089 · Appointed 14 May 1998 · Until 16 Sep 2002
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