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.

  • Paul Pisano

    IRN PRP01072

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Apr 2023)
    • CF11 Money Laundering Reporting (2 Jan 2019 to 8 Dec 2019)
  • Paul Wilson

    IRN PMW00004

    • SMF18 Other Overall Responsibility (28 Apr 2021 to 30 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 27 Apr 2021)
  • Penney Daly

    IRN PXD00044

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2020)
  • Philip Craig Willcock

    IRN PCW01074

    • CF1 Director (10 Aug 2011 to 2 Dec 2013)
  • Rachel Hannon

    IRN RXH84102

    • SMF18 Other Overall Responsibility (since 14 May 2025)
    • [FCA CF] Significant management (27 May 2022 to 13 May 2025)
  • Rachel Whitaker

    IRN RXW00212

    • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2021)
  • Rebecca Connolly

    IRN RXC00228

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Aug 2021)
  • Rebecca Love

    IRN RXL00065

    • [FCA CF] Functions requiring qualifications (13 Mar 2020 to 14 Jun 2022)
  • Riaan De Bruyn

    IRN RXD00358

    • [FCA CF] Manager of certification employee (since 1 Sep 2025)
    • [FCA CF] Significant management (since 1 Sep 2025)
  • Richard Charles Smith

    IRN RCS01165

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Oct 2021)

Recent activity

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

No changes recorded yet.