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.

• Malcolm Graham Biggs

  IRN MGB01062

  • CF11 Money Laundering Reporting (1 Dec 2001 to 10 Apr 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 10 Apr 2007)
• Marc Robert Andrew Bulstrode

  IRN MRB01205

  • SMF3 Executive Director (since 28 Nov 2024)
  • SMF1 Chief Executive (since 28 Nov 2024)
  • [FCA CF] Material risk taker (1 Jan 2023 to 29 Nov 2024)
  • [FCA CF] Manager of certification employee (12 Sep 2022 to 29 Nov 2024)
  • [FCA CF] Significant management (12 Sep 2022 to 29 Nov 2024)
• Marc Smillie

  IRN MXS00152

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

  IRN MIA01026

  • CF1 Director (AR) (20 Dec 2016 to 3 Jan 2018)
  • CF10 Compliance Oversight (7 Sep 2016 to 10 Aug 2017)
  • CF1 Director (7 Sep 2016 to 3 Jan 2018)
  • CF11 Money Laundering Reporting (7 Sep 2016 to 10 Aug 2017)
• Mark Hopwood

  IRN MPH00001

  • [FCA CF] Client dealing (9 Dec 2019 to 18 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 May 2022)
  • CF30 Customer (26 Sep 2018 to 8 Dec 2019)
• Mark Jonathan Sevier

  IRN MJS01221

  • CF30 Customer (1 Nov 2007 to 11 Feb 2014)
  • CF24 Pension Transfer Specialist (3 May 2007 to 31 Oct 2007)
  • CF26 Customer Trading (9 Mar 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Mark Kevin Leather

  IRN MKL01024

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (17 Jan 2019 to 8 Dec 2019)
  • CF1 Director (17 Jan 2019 to 8 Dec 2019)
• Martin Fraser Ashworth

  IRN MFA01004

  • CF27 Investment Management (6 Jan 2003 to 31 Oct 2006)
  • CF21 Investment Adviser (6 Jan 2003 to 31 Oct 2006)
• Martin Peter Badder

  IRN MPB01123

  • CF30 Customer (22 Dec 2008 to 30 Jun 2011)
• Matt Brown

  IRN MXB00259

  • [FCA CF] Significant management (9 Dec 2019 to 15 May 2020)

• 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.