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.

  • Claire Elizabeth Cushing

    IRN CXC00475

    • [FCA CF] Significant management (1 Feb 2022 to 1 Aug 2024)
  • Claire Elizabeth Lund - Conlon

    IRN CEB01128

    • [FCA CF] Significant management (7 Dec 2021 to 30 Jun 2025)
  • Claire Mulready Le Vot

    IRN CXB01558

    • [FCA CF] Manager of certification employee (19 Jun 2023 to 21 Jan 2024)
  • Clare Wild

    IRN CXW00074

    • [FCA CF] Functions requiring qualifications (6 Apr 2021 to 14 Jun 2022)
  • Clive Grant Bolton

    IRN CGB01066

    • CF29 Significant management (24 Aug 2012 to 5 May 2017)
  • Clive Phillip Witter

    IRN CPW01084

    • CF1 Director (26 Oct 2006 to 1 Mar 2007)
    • CF3 Chief Executive (26 Oct 2006 to 1 Mar 2007)
    • Responsible for Insurance Mediation (26 Oct 2006 to 1 Mar 2007)
  • Craig Fazzini-Jones

    IRN RCJ01039

    • SMF24 Chief Operations (21 Oct 2021 to 19 Jun 2025)
  • Craig James

    IRN JXC01954

    • CF11 Money Laundering Reporting (24 Mar 2005 to 4 Aug 2006)
    • CF10 Compliance Oversight (24 Mar 2005 to 4 Aug 2006)
  • Craig James Thornton

    IRN CJT01069

    • CF1 Director (1 Aug 2012 to 8 Mar 2013)
    • CF29 Significant management (1 Nov 2011 to 1 Jun 2012)
    • CF28 Systems and controls (10 Feb 2010 to 1 Nov 2011)
  • Danielle Phillippo

    IRN DXP00193

    • [FCA CF] CASS oversight function (since 9 Dec 2019)

Recent activity

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

No changes recorded yet.