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.

  • Frances Bruce

    IRN FXB81493

    • [FCA CF] Significant management (30 Jul 2021 to 20 Oct 2021)
    • [FCA CF] Manager of certification employee (7 Apr 2020 to 29 Jul 2021)
  • Gareth Dring

    IRN GXD00131

    • [FCA CF] Significant management (9 Dec 2019 to 25 Oct 2021)
  • George Dodd

    IRN GXD00072

    • SMF18 Other Overall Responsibility (24 Feb 2022 to 31 Jan 2023)
    • [FCA CF] Significant management (17 Nov 2020 to 23 Feb 2022)
  • Geraldine Baram

    IRN GXB00190

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jan 2022)
  • Gordon John Cummins

    IRN GJC01149

    • CF29 Significant management (9 Feb 2009 to 30 Nov 2009)
  • Graham Stirling Boffey

    IRN GSB01058

    • CF1 Director (27 Jul 2010 to 5 Dec 2012)
  • Gregory Clay Horsnell

    IRN GCH01047

    • CF28 Systems and controls (21 Oct 2015 to 4 Mar 2018)
  • Gregory Neilson

    IRN GRN01029

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Mar 2021)
  • Helen Lindley

    IRN HXL00046

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jun 2022)
  • Hortense Frisby

    IRN HXF09765

    • [FCA CF] Manager of certification employee (25 Oct 2021 to 1 Sep 2022)
    • [FCA CF] Significant management (3 Aug 2021 to 1 Sep 2022)

Recent activity

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

No changes recorded yet.