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.

  • Michael Sasaki

    IRN MXS00816

    • [FCA CF] Significant management (since 29 May 2025)
  • Michael Stephens

    IRN MXS05370

    • [FCA CF] Significant management (27 Aug 2025 to 3 Nov 2025)
  • Michele Golunska

    IRN MFB01057

    • SMF18 Other Overall Responsibility (since 9 Feb 2023)
    • [FCA CF] Significant management (1 Aug 2022 to 8 Feb 2023)
    • [FCA CF] Manager of certification employee (1 Aug 2022 to 8 Feb 2023)
  • Mohd Safvan Trumboo

    IRN MXT00356

    • [FCA CF] CASS oversight function (14 Mar 2022 to 26 Jun 2023)
  • Mr David McHugh

    IRN MXD00361

    • [FCA CF] Significant management (18 Jun 2021 to 25 Oct 2021)
  • Natalie Knowles

    IRN NXK00078

    • [FCA CF] Significant management (9 Dec 2019 to 4 Oct 2022)
  • Neil David Grady

    IRN NXG00153

    • [FCA CF] Significant management (25 Nov 2021 to 30 Jun 2025)
  • Neil Harrison

    IRN NXH00071

    • [FCA CF] Manager of certification employee (since 1 Oct 2023)
  • Nicholas John Robertson

    IRN NXR00263

    • [FCA CF] Significant management (19 Jun 2023 to 21 Jan 2024)
  • Nicholas Jones

    IRN NXJ00053

    • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Feb 2026)

Recent activity

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

No changes recorded yet.