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.

  • Derek Andrew Noone

    IRN DAN01041

    • CF1 Director (24 Mar 2005 to 25 May 2006)
  • Donato Boccardi

    IRN DXB00305

    • [FCA CF] Significant management (since 1 Sep 2025)
  • Douglas Allan Brown

    IRN DAB01249

    • SMF7 Group Entity Senior Manager (since 4 Sep 2024)
    • Responsible for Insurance Distribution (24 Feb 2023 to 18 Aug 2024)
    • SMF1 Chief Executive (24 Feb 2023 to 18 Aug 2024)
    • SMF3 Executive Director (24 Feb 2023 to 18 Aug 2024)
    • SMF7 Group Entity Senior Manager (18 May 2021 to 24 Feb 2023)
    • [FCA CF] Significant management (1 May 2021 to 17 May 2021)
    • [FCA CF] Manager of certification employee (1 May 2021 to 17 May 2021)
  • Elaine Newall

    IRN EXN00019

    • [FCA CF] Functions requiring qualifications (28 Jan 2021 to 14 Jun 2022)
  • Elizabeth Anne McCormack

    IRN EXD22331

    • [FCA CF] Significant management (since 6 Nov 2024)
  • Ellen Louise Bruno

    IRN ELB00009

    • [FCA CF] Significant management (since 23 Mar 2026)
    • [FCA CF] Significant management (1 Sep 2025 to 2 Sep 2025)
  • Elsa Raper

    IRN EXR00192

    • [FCA CF] Significant management (since 1 Oct 2023)
  • Emily Claire Haylett

    IRN EXH00205

    • [FCA CF] Functions requiring qualifications (21 Apr 2022 to 14 Jun 2022)
  • Emma Porter

    IRN EJP01040

    • CF19 Significant Mgt (Financial Resources) (24 Mar 2005 to 10 Aug 2006)
    • CF20 Significant Mgt (Settlements) (24 Mar 2005 to 10 Aug 2006)
  • Euan George Munro

    IRN EGM01007

    • SMF7 Group Entity Senior Manager (13 May 2020 to 15 Oct 2020)

Recent activity

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

No changes recorded yet.