Alternatives St James LLP

• Principal Place of Business

  8 Elgin Road

  Bournemouth

  BH4 9NL

  UNITED KINGDOM

  Phone

  +4402078398088

• Complaints Contact

  8 Elgin Road

  Bournemouth

  BH4 9NL

  UNITED KINGDOM

  Phone

  +4402078398088

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stephen James McGuinness

  IRN SJM01245

  • [FCA CF] Client dealing (since 19 Aug 2021)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (7 Dec 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Dec 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (2 Mar 2006 to 8 Dec 2019)
  • CF4 Partner (9 Feb 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Feb 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (9 Feb 2006 to 31 Mar 2009)
• Stephen Li Jen

  IRN SLJ01048

  • CF4 Partner (AR) (7 Jun 2011 to 19 Oct 2011)
  • CF30 Customer (7 Jun 2011 to 19 Oct 2011)
• Stephen Martin Fahy

  IRN SXF00382

  • CF30 Customer (since 2 Feb 2023)
• Stephen William Findlay

  IRN SXF01433

  • CF30 Customer (22 Sep 2009 to 4 Mar 2010)
  • CF4 Partner (AR) (22 Sep 2009 to 4 Mar 2010)
• Steven Russell

  IRN SXR01759

  • CF30 Customer (15 Nov 2018 to 27 Oct 2021)
• Sven Erik Liden

  IRN SEL01099

  • CF1 Director (AR) (24 Nov 2015 to 4 Oct 2017)
• Theodor Leander Battista Maria Mettenheimer

  IRN TXL00241

  • [FCA CF] Client dealing (since 4 Oct 2023)
• Thijs Pieter Bauer

  IRN TPB01029

  • CF30 Customer (20 Apr 2011 to 1 Apr 2015)
  • CF1 Director (AR) (20 Apr 2011 to 1 Apr 2015)
• Thomas Arthur Herman

  IRN TAH01053

  • CF30 Customer (21 Sep 2009 to 31 Dec 2010)
• Thomas Lloyd Bywater

  IRN TXB01223

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)

• Falcon Investment Advisors (UK) LLP (no longer appointed)

  FRN 672796 · Appointed 20 Feb 2015 · Until 28 Apr 2017

• GP-SF LLP (no longer appointed)

  FRN 520421 · Appointed 1 Dec 2014 · Until 26 Oct 2021

• Lewben London Ltd (no longer appointed)

  FRN 648864 · Appointed 3 Oct 2014 · Until 21 Aug 2015

• IP Capital Partners UK LLP (no longer appointed)

  FRN 631568 · Appointed 5 Sep 2014 · Until 19 Jun 2017

• Green Road Capital Partners LLP (no longer appointed)

  FRN 621227 · Appointed 15 Apr 2014 · Until 1 Jun 2017

• Schroder Adveq Management (UK) Ltd (no longer appointed)

  FRN 604152 · Appointed 5 Aug 2013 · Until 23 May 2018

• Proprium Capital Management (UK) LLP (no longer appointed)

  FRN 598252 · Appointed 28 Mar 2013 · Until 30 Apr 2014

• Praesidian Capital Europe LLP (no longer appointed)

  FRN 597217 · Appointed 13 Mar 2013 · Until 23 May 2014

• Augusta Ventures LLP (no longer appointed)

  FRN 506592 · Appointed 22 Feb 2012 · Until 15 Aug 2013

• Stone Arch Financial Ltd (no longer appointed)

  FRN 472083 · Appointed 8 Jun 2011 · Until 31 Jan 2012

No changes recorded yet.