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

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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.

• 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.

• Gary Hinde

  IRN GRH01108

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Jun 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Jun 2020)
  • CF30 Customer (23 May 2008 to 8 Dec 2019)
• Gary Sunderland

  IRN GXS02428

  • CF30 Customer (13 Oct 2015 to 31 Mar 2018)
• Gary Terence Wilkins

  IRN GTW01011

  • CF1 Director (9 Feb 2009 to 21 Sep 2009)
  • CF29 Significant management (14 Oct 2008 to 21 Sep 2009)
• Gavin Elliot Budd

  IRN GEB01031

  • CF24 Pension Transfer Specialist (3 May 2007 to 3 Sep 2007)
  • CF27 Investment Management (1 Dec 2001 to 3 Sep 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 3 Sep 2007)
• Gemma Rubel

  IRN GXR00064

  • [FCA CF] Significant management (31 Dec 2020 to 26 Nov 2021)
• Geoffrey Sean Croden

  IRN GSC00022

  • CF30 Customer (21 Oct 2014 to 13 Nov 2015)
• Georgina Fulcher

  IRN GXF00036

  • [FCA CF] Client dealing (3 Jul 2020 to 15 Mar 2021)
• Glen Wilson

  IRN GXW00070

  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Grace Claxton

  IRN GXC00119

  • [FCA CF] Client dealing (9 Dec 2019 to 14 May 2021)
• Graham George Rowland

  IRN GGR01010

  • CF27 Investment Management (1 Dec 2001 to 1 Jan 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2004)

• 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.