Date authorised
1 April 2013
Companies House
04470008
Last scraped
3 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

    For Eligible Counterparty, Professional, Retail (Investment)

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

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  • Holds Your Assets

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

Approved individuals

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

  • Aaron Simpson Lees

    IRN AXL00618

    • [FCA CF] CASS oversight function (since 5 Oct 2023)
    • [FCA CF] Functions requiring qualifications (19 May 2025 to 1 Dec 2025)
  • Ailsa Edgar

    IRN AXE00063

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jun 2022)
  • Ajit Singh Roger Dhaliwal

    IRN AXD00931

    • [FCA CF] Significant management (since 1 Jul 2024)
    • [FCA CF] Manager of certification employee (1 Jul 2024 to 2 Feb 2026)
  • Alastair Ward

    IRN AXW00572

    • [FCA CF] Significant management (since 2 Sep 2025)
    • [FCA CF] Significant management (26 Apr 2022 to 1 Sep 2025)
  • Alexander Bennett-Marsden

    IRN AXB04397

    • [FCA CF] Significant management (15 Aug 2024 to 1 Dec 2025)
  • Alexandra Elizabeth Sadiq

    IRN AES01113

    • [FCA CF] Significant management (since 25 Oct 2021)
  • Alison Bermingham

    IRN AXB00467

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Aug 2021)
  • Alison Gammon

    IRN AXG00053

    • [FCA CF] Manager of certification employee (24 May 2023 to 30 Sep 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2023)
  • Alyn Rodger

    IRN AXR00466

    • [FCA CF] Functions requiring qualifications (20 Oct 2021 to 14 Jun 2022)
  • Andrew Barton

    IRN AJB01647

    • CF29 Significant management (1 Jul 2016 to 15 Mar 2017)

Recent activity

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

No changes recorded yet.