Date authorised
1 April 2013
Companies House
02407799
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

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

    Aviva
    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.

  • Authorised to Operate

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

    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)

    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.
  • Trades With You Directly

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

    Show 1 limitation
    • · The firm is limited to dealing as a principle in investments in the rights under the scheme(s) that it operates
  • Runs Personal Pensions

    For Personal pension scheme

  • Investment Setup

    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)

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • John Charles Amies Wilkinson

    IRN JCW01175

    • CF11 Money Laundering Reporting (18 Sep 2015 to 31 Mar 2017)
  • John Cummings

    IRN JXC28055

    • [FCA CF] Manager of certification employee (since 1 Jul 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2020)
  • John Kendall

    IRN JXK00077

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 23 Aug 2021)
  • John Robert Lister

    IRN JRL01035

    • CF29 Significant management (1 Jul 2015 to 7 Aug 2016)
    • CF1 Director (9 Jul 2009 to 23 Apr 2012)
  • John Steele

    IRN JXS02421

    • CF10 Compliance Oversight (26 Jul 2012 to 30 Apr 2014)
    • CF10a CASS Oversight function (26 Jul 2012 to 30 Apr 2014)
  • Jonathan David Hawley

    IRN JXH00381

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Mar 2020)
  • Jonathan Deighton

    IRN JXD00328

    • [FCA CF] CASS oversight function (9 Dec 2019 to 23 Sep 2021)
  • Jonathan James Paley

    IRN JXP00433

    • [FCA CF] Manager of certification employee (24 May 2021 to 31 Jan 2022)
    • [FCA CF] Significant management (24 May 2021 to 31 Jan 2022)
  • Jonathan Richard Groves

    IRN JXG01007

    • [FCA CF] Significant management (since 9 Feb 2026)
  • Jonquil Mogg

    IRN JXM00866

    • [FCA CF] Functions requiring qualifications (1 Sep 2021 to 14 Jun 2022)

Recent activity

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

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