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.

  • James Farrow

    IRN JXF00141

    • [FCA CF] Significant management (9 Dec 2019 to 1 Feb 2021)
  • James Godfrey

    IRN JXG00046

    • [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2020)
  • James Iain Glen

    IRN JIG01008

    • CF11 Money Laundering Reporting (16 Nov 2006 to 23 Jul 2007)
    • CF10 Compliance Oversight (16 Nov 2006 to 23 Jul 2007)
  • James William Rowlands

    IRN JXR00472

    • [FCA CF] CASS oversight function (3 Dec 2021 to 20 May 2022)
  • Jane Veronica Storm

    IRN JXS25826

    • SMF18 Other Overall Responsibility (since 11 Dec 2025)
  • Jasmin Slider

    IRN JXS00343

    • SMF3 Executive Director (since 20 Feb 2022)
    • SMF2 Chief Finance (since 20 Feb 2022)
  • Jason Michael Windsor

    IRN JMW01117

    • CF29 Significant management (28 Sep 2017 to 30 Jun 2019)
  • Jason Rigby

    IRN JXR00229

    • [FCA CF] Functions requiring qualifications (2 Mar 2020 to 14 Jun 2022)
  • Jean-Paul Grenade

    IRN JXG01858

    • [FCA CF] Significant management (17 Nov 2021 to 31 Mar 2023)
  • Jenna Dixon

    IRN JXD00258

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Feb 2020)

Recent activity

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

No changes recorded yet.