Date authorised
1 April 2013
Companies House
03514268
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Apollo House
    Eboracum Way
    York
    YO31 7RE
    UNITED KINGDOM
    Phone
    +441904544300
  • Complaints Contact

    Apollo House
    Eboracum Way
    York
    YO31 7RE
    UNITED KINGDOM
    Phone
    +441904544300

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 1 limitation
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
  • Trades With You Directly

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 1 limitation
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
  • Runs Personal Pensions

  • Investment Setup

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 1 limitation
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in invetsments in the rights under the scheme(s) that it operates

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Richard Stanley Byfield

    IRN RSB00009

    • CF8 Apportionment and Oversight (6 Apr 2007 to 31 Mar 2009)
    • CF1 Director (6 Apr 2007 to 24 May 2011)
  • Robert Alan Elliott

    IRN RAE00004

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (9 Dec 2008 to 8 Dec 2019)
  • Rodney Arnold Fitzgerald

    IRN RAF01059

    • CF1 Director (25 Nov 2016 to 6 Sep 2017)
  • Sean Kin Wai Lam

    IRN SKL01012

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (25 Sep 2017 to 8 Dec 2019)
  • Wendy Eastwood

    IRN WOB01006

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (9 Dec 2019 to 26 Jul 2024)
    • CF3 Chief Executive (2 Oct 2017 to 8 Dec 2019)
    • CF1 Director (25 May 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.