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.

  • Mark Brian Chaplin

    IRN MXC01896

    • SMF7 Group Entity Senior Manager (20 Aug 2020 to 27 May 2022)
    • CF28 Systems and controls (1 Jul 2017 to 13 Aug 2018)
  • Mark Simon Edwards

    IRN MXE00183

    • [FCA CF] Manager of certification employee (20 Jan 2022 to 14 Jun 2022)
  • Mark Steven Hodges

    IRN MSH01039

    • CF3 Chief Executive (20 Jun 2007 to 8 Apr 2008)
    • CF1 Director (20 Jun 2007 to 15 May 2009)
    • CF8 Apportionment and Oversight (17 Aug 2006 to 31 Oct 2007)
  • Mark Terence Kinsman

    IRN MTK01021

    • CF1 Director (24 Mar 2005 to 18 Nov 2005)
  • Marta Zarraga

    IRN MXZ00007

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jan 2020)
  • Martha Lotte Phillips

    IRN MXP00133

    • [FCA CF] Significant management (13 May 2020 to 31 Dec 2021)
  • Martin Garrett Cronin

    IRN MGC01125

    • CF28 Systems and controls (23 Jun 2014 to 1 Oct 2015)
  • Martin Hall

    IRN MXH00353

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

    IRN MXL88957

    • [FCA CF] Manager of certification employee (since 2 Feb 2026)
  • Martin O'Malley

    IRN MXO01534

    • SMF5 Head of Internal Audit (5 May 2023 to 12 Nov 2023)

Recent activity

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

No changes recorded yet.