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.

  • Cheryl Toner

    IRN CXT01385

    • [FCA CF] Manager of certification employee (since 3 Oct 2022)
  • Chris Wood

    IRN CMW01142

    • SMF9 Chair of the Governing Body (since 2 Apr 2024)
    • CF11 Money Laundering Reporting (14 Mar 2012 to 23 Aug 2012)
  • Christina Dean

    IRN CXW00177

    • [FCA CF] CASS oversight function (since 2 Dec 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 20 Apr 2020)
  • Christine Nellis

    IRN CXN27354

    • SMF18 Other Overall Responsibility (9 Apr 2020 to 30 Sep 2025)
    • [FCA CF] Manager of certification employee (1 Jan 2020 to 8 Apr 2020)
  • Christopher Angus French-Leith

    IRN CXF00329

    • [FCA CF] CASS oversight function (since 1 Nov 2023)
  • Christopher Gordon Coles

    IRN CGC01084

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jul 2020)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2021)
    • CF11 Money Laundering Reporting (19 Jun 2017 to 1 Jan 2019)
  • Christopher Hudson

    IRN CXH55740

    • [FCA CF] Significant management (9 Dec 2019 to 9 Feb 2020)
  • Christopher James Esson

    IRN CJE01085

    • CF2 Non Executive Director (25 Nov 2019 to 8 Dec 2019)
  • Christopher Liam Barrett

    IRN CXB00551

    • [FCA CF] Significant management (since 1 Jan 2022)
    • [FCA CF] Manager of certification employee (1 Jan 2022 to 14 Jun 2022)
  • Christopher Michael Golland

    IRN CMG01141

    • SMF18 Other Overall Responsibility (since 9 Dec 2019)
    • CF10a CASS Oversight function (3 Dec 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.