Date authorised
1 April 2013
Companies House
03424940
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Aviva
    Wellington Row
    York
    North Yorkshire
    YO90 1WR
    UNITED KINGDOM
    Phone
    +4402072832000
  • Complaints Contact

    Aviva
    Customer Relations
    Wellington Row
    York
    North Yorkshire
    YO90 1WR
    UNITED KINGDOM
    Phone
    +4403453078550

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 1 limitation
    • · 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.
  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Trades With You Directly

    For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 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.
  • Runs Personal Pensions

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Catherine Evans

    IRN CSN00003

    • [FCA CF] Functions requiring qualifications (1 Mar 2022 to 1 Oct 2023)
  • Cedrick Rex Orrell

    IRN CRO00001

    • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2004)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 5 Apr 2004)
  • Charles Acton

    IRN CXA00017

    • CF21 Investment Adviser (11 Mar 2003 to 16 Aug 2004)
    • CF22 Investment Adviser (Trainee) (30 Oct 2002 to 11 Mar 2003)
    • CF1 Director (AR) (30 Oct 2002 to 16 Aug 2004)
  • Charles Arthur Christopher Field

    IRN CAF00010

    • CF21 Investment Adviser (1 Dec 2001 to 13 May 2005)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 17 Dec 2003)
  • Charles Jackson

    IRN CEJ00001

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2005)
  • Charles Robert Donohue

    IRN CRD00014

    • CF1 Director (AR) (11 Mar 2004 to 1 Apr 2006)
    • CF21 Investment Adviser (15 Jul 2003 to 1 Apr 2006)
    • CF22 Investment Adviser (Trainee) (22 Nov 2002 to 15 Jul 2003)
  • Charles Stewart Ferguson

    IRN CSF00002

    • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2005)
  • Charlotte Claire Jones

    IRN CCJ01017

    • [FCA CF] Manager of certification employee (since 1 Sep 2022)
  • Charlotte Dixon

    IRN CXB85592

    • [FCA CF] Functions requiring qualifications (29 Apr 2022 to 1 Oct 2023)
  • Cheryl Honor Parmar

    IRN CHP01030

    • CF22 Investment Adviser (Trainee) (11 May 2005 to 6 Dec 2005)
    • CF4 Partner (AR) (11 May 2005 to 2 Aug 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.