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.

  • Roger Charles Dix

    IRN RCD01059

    • CF28 Systems and controls (7 Feb 2011 to 1 Jun 2012)
  • Rosemary Harris

    IRN RXH00169

    • CF28 Systems and controls (13 Jul 2015 to 30 Jun 2017)
  • Roshni Ghose

    IRN RXG00616

    • [FCA CF] Significant management (since 1 Nov 2025)
  • Samantha Jane Mirehouse

    IRN SJM01338

    • [FCA CF] Significant management (since 2 Oct 2023)
  • Samuel James Nixon

    IRN SXN00305

    • [FCA CF] Significant management (since 30 Mar 2023)
  • Sara Thompson

    IRN SET01070

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2019)
  • Sarah Jean Layden

    IRN SXL00450

    • [FCA CF] Manager of certification employee (30 Mar 2023 to 27 Nov 2023)
    • [FCA CF] Significant management (12 Jul 2022 to 30 Jun 2025)
  • Scott Brown

    IRN SXB00209

    • [FCA CF] Significant management (9 Dec 2019 to 2 Mar 2021)
  • Shane Murphy

    IRN SXM04367

    • [FCA CF] Significant management (since 14 Dec 2023)
  • Shaun Anthony Gains

    IRN SXG00952

    • [FCA CF] Significant management (23 Oct 2025 to 10 Mar 2026)

Recent activity

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

No changes recorded yet.