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.

  • Jennifer Gears

    IRN JXG00085

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Jun 2022)
  • Jeremy Randal Bradburne

    IRN JRB01216

    • Responsible for Insurance Mediation (6 Apr 2006 to 10 Aug 2006)
    • CF3 Chief Executive (24 Mar 2005 to 10 Aug 2006)
    • CF8 Apportionment and Oversight (24 Mar 2005 to 10 Aug 2006)
    • CF1 Director (24 Mar 2005 to 10 Aug 2006)
  • Joanne Elizabeth Ormandy

    IRN JXO00371

    • [FCA CF] Significant management (since 12 Jan 2026)
  • Joanne Marie Phillips

    IRN JXP00703

    • SMF3 Executive Director (17 Nov 2023 to 15 Aug 2025)
    • [FCA CF] Significant management (26 Sep 2022 to 16 Nov 2023)
    • [FCA CF] Manager of certification employee (26 Sep 2022 to 16 Nov 2023)
  • Jodie Lennie

    IRN JXL00217

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jun 2022)
  • 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 Robert Lister

    IRN JRL01035

    • CF1 Director (9 Nov 2012 to 3 Oct 2013)
  • 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)

Recent activity

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

No changes recorded yet.