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

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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.

• 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.

• Graham James Webster

  IRN GJW01065

  • CF27 Investment Management (1 Dec 2001 to 26 Jun 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 26 Jun 2006)
• Graham Peter Coxell

  IRN GPC01048

  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2019)
  • CF1 Director (AR) (10 May 2012 to 1 Apr 2019)
  • Responsible for Insurance Mediation (19 Apr 2012 to 30 Sep 2018)
  • CF3 Chief Executive (31 Mar 2011 to 31 Aug 2019)
  • CF1 Director (31 Mar 2011 to 8 Dec 2019)
• Grant Alistair Fairbairn

  IRN GAF01058

  • CF30 Customer (6 May 2008 to 31 Dec 2009)
• Gregg McAlister

  IRN GAM01129

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (13 Jun 2016 to 8 Dec 2019)
• Guy Stephens

  IRN GJS00074

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (15 Dec 2011 to 3 May 2017)
  • CF30 Customer (8 Sep 2011 to 8 Dec 2019)
• Haitham Faris Mahmood Nori

  IRN HFN01002

  • CF30 Customer (1 Feb 2017 to 15 Nov 2017)
• Harry Edward Bell

  IRN HEB01036

  • CF30 Customer (11 Aug 2014 to 31 Dec 2015)
• Harry Loader

  IRN HXL00221

  • [FCA CF] Client dealing (since 1 Jan 2025)
• Hayley Cox

  IRN HXC00047

  • [FCA CF] Functions requiring qualifications (3 Aug 2020 to 26 Jul 2021)
• Helen Isgar

  IRN HXI00013

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Jul 2021)

• 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.