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.

  • Jonathan Deighton

    IRN JXD00328

    • [FCA CF] CASS oversight function (9 Dec 2019 to 23 Sep 2021)
  • 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)
  • Juan Luis Gomez Reino

    IRN JXG01849

    • SMF24 Chief Operations (since 13 Feb 2024)
    • SMF3 Executive Director (5 Sep 2024 to 17 Apr 2026)
  • Julian Ray Woodford

    IRN JRW01250

    • CF28 Systems and controls (20 Jan 2011 to 1 Oct 2011)
  • Julie Dawn Green

    IRN JDG01107

    • SMF18 Other Overall Responsibility (29 Mar 2021 to 22 Oct 2021)
    • [FCA CF] Manager of certification employee (1 Dec 2020 to 28 Mar 2021)
    • [FCA CF] Significant management (5 Feb 2020 to 28 Mar 2021)
    • CF1 Director (14 Oct 2014 to 11 Jul 2018)
  • Karen Louise Howard

    IRN KXH00097

    • [FCA CF] Significant management (since 31 Mar 2026)
  • Karl Greenway

    IRN KXG00104

    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Oct 2021)
  • Kate Taylor

    IRN KXT00119

    • [FCA CF] Functions requiring qualifications (23 Apr 2021 to 14 Jun 2022)
  • Katharine Johnston

    IRN KXJ00037

    • [FCA CF] Significant management (22 Apr 2020 to 12 Jul 2021)

Recent activity

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

No changes recorded yet.