ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED

• Principal Place of Business

  St. James's Place House 2610 The Quadrant

  Aztec West

  Almondsbury

  Bristol

  South Gloucestershire

  BS32 4AQ

  UNITED KINGDOM

  Phone

  +4401179330000

  Web

  https://www.rowan-dartington.co.uk

• Complaints Contact

  St. James's Place House 2610 The Quadrant

  Aztec West

  Almondsbury

  Bristol

  South Gloucestershire

  BS32 4AQ

  UNITED KINGDOM

  Phone

  +4401179330000

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Structured Deposits, 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.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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

• David John Money

  IRN DJM01559

  • [FCA CF] Significant management (since 18 Oct 2025)
  • CF29 Significant management (1 Jul 2008 to 17 Oct 2009)
• David John Smith

  IRN DJS00169

  • CF30 Customer (1 Oct 2012 to 2 Mar 2014)
• David Martin De Yong

  IRN DMD01037

  • CF30 Customer (1 Nov 2007 to 25 Jul 2012)
  • CF24 Pension Transfer Specialist (3 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)
  • CF27 Investment Management (23 Oct 2006 to 31 Oct 2007)
• David McNiven

  IRN DXM00015

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Jul 2025)
  • CF30 Customer (18 Jul 2016 to 8 Dec 2019)
• David Paul Couch

  IRN DPC01048

  • CF3 Chief Executive (10 Aug 2009 to 12 Apr 2010)
  • CF29 Significant management (26 Feb 2009 to 12 Apr 2010)
  • CF1 Director (26 Feb 2009 to 12 Apr 2010)
• David Robertson

  IRN DJR01176

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Jul 2025)
  • CF30 Customer (16 Jul 2018 to 8 Dec 2019)
• David Timothy Mann

  IRN DTM01034

  • CF26 Customer Trading (1 Dec 2001 to 3 Sep 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 3 Sep 2007)
  • CF27 Investment Management (1 Dec 2001 to 3 Sep 2007)
• David Wallace Ballintine Snow

  IRN DWS01107

  • CF2 Non Executive Director (22 May 2009 to 2 Aug 2017)
• Deborah Finnegan

  IRN DLF01031

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Jan 2012 to 1 Jan 2013)
• Desmond Robin Baucher

  IRN DRB01086

  • CF30 Customer (1 Nov 2007 to 9 Jan 2017)
  • CF24 Pension Transfer Specialist (3 May 2007 to 31 Oct 2007)
  • CF27 Investment Management (23 Oct 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (20 Oct 2006 to 31 Oct 2007)

• Michael Gordon Burfield (no longer appointed)

  FRN 586546 · Appointed 17 Aug 2012 · Until 6 Feb 2018

• Liberate Wealth (Taunton) Limited (no longer appointed)

  FRN 580191 · Appointed 25 Apr 2012 · Until 5 Dec 2023

No changes recorded yet.