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.

• Kylie Clark

  IRN KXC00078

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 26 Jul 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Jul 2021)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 26 Jul 2021)
• Laura French

  IRN LXF00030

  • [FCA CF] Functions requiring qualifications (2 Apr 2020 to 30 Apr 2021)
• Lea Blinoff

  IRN LXB01116

  • [FCA CF] Significant management (since 15 Dec 2025)
  • [FCA CF] Manager of certification employee (since 15 Dec 2025)
• Lee Martin Cleaves

  IRN LMC01093

  • CF30 Customer (12 Feb 2014 to 1 Dec 2017)
• Lee Stuart Dearden

  IRN LSD01016

  • [FCA CF] Functions requiring qualifications (3 Jul 2020 to 9 Jul 2025)
  • [FCA CF] Client dealing (3 Jul 2020 to 9 May 2025)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2009)
  • CF24 Pension Transfer Specialist (3 May 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (22 Mar 2006 to 31 Oct 2007)
• Likita Uys

  IRN LXU00002

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 20 May 2025)
  • [FCA CF] Functions requiring qualifications (since 6 Oct 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Louis Mepham

  IRN LXM00637

  • 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] Functions requiring qualifications (since 8 May 2025)
  • [FCA CF] Client dealing (since 4 Dec 2023)
• Louise Lianne Bridget Wheadon

  IRN LLW01008

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 23 Apr 2023)
  • CF30 Customer (2 Jan 2018 to 23 Apr 2023)
• Luke Pearce

  IRN LRP01016

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Jul 2025)
  • CF30 Customer (30 Aug 2016 to 8 Dec 2019)
• Lynne Foster

  IRN LXF01086

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Jul 2025)

• 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.