ST. JAMES'S PLACE UK PLC

FRN: 150026
Date authorised: 1 April 2013
Companies House: 02628062
Last scraped: 3 days ago

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

St. James's Place House

1 Tetbury Road

Cirencester

Gloucestershire

GL7 1FP

UNITED KINGDOM

Phone

+4401285640302

Web

https://www.sjp.co.uk
Complaints Contact

St. James's Place House

1 Tetbury Road

Cirencester

Gloucestershire

GL7 1FP

UNITED KINGDOM

Phone

+4401285640302

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

Bank Deposits

For All, Deposit
Show 1 limitation Hide limitations
- · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Retail (Investment), Professional, Personal pension scheme, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Arranges Asset Safekeeping

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

For All, Life and annuity, Linked long-term, Permanent health, Pension fund management
Stockbroking

For Retail (Investment), Professional, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Commodity Future, Commodity option and option on commodity future, Life Policy, Rolling spot forex contract, Spread Bet, Stakeholder pension scheme, Personal pension scheme
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.
Trades With You Directly

For Retail (Investment), Professional, Eligible Counterparty, Life Policy, Rights to or interests in investments (Contractually Based Investments), 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rolling spot forex contract, Spread Bet, Rights to or interests in investments (Security), Personal pension scheme
Show 3 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Issues Insurance

For All, Life and annuity, Linked long-term, Permanent health, Pension fund management
Runs Personal Pensions

For Retail (Investment), Professional, Personal pension scheme
Investment Setup

For Retail (Investment), Professional, Personal pension scheme, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Holds Your Assets

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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Roger Philip Yates
IRN RPY01006
- (2169)SMF7 Group Entity Senior Manager (12 Jul 2022 to 18 May 2023)
- (2168)SMF12 Chair of the Remuneration Committee (12 Jul 2022 to 12 Jul 2022)
- (2167)SMF14 Senior Independent Director (10 Dec 2018 to 17 May 2021)
- (2165)SIMF14 Senior Independent Director (8 Oct 2018 to 9 Dec 2018)
- (2166)SIMF12 Chair of the Remuneration Committee (7 Mar 2016 to 9 Dec 2018)
- (2170)CF2 Non Executive Director (12 Nov 2013 to 6 Mar 2016)
Roger Raymond Chamberlain
IRN RRC00004
- (1150)CF22 Investment Adviser (Trainee) (17 Mar 2003 to 3 Jun 2003)
Roger Roberts
IRN RXR00017
- (1493)CF21 Investment Adviser (1 Dec 2001 to 16 Jul 2002)
Roger Thomas Watts
IRN RTW00005
- (550)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Rognvald Bullen
IRN RXB00073
- (758)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Dec 2002)
Ronald James Lynn
IRN RJL00005
- (908)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Ronald Keith Jordan
IRN RKJ00002
- (1106)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2002)
Ronald Malcolm Arthur
IRN RMA00001
- (1189)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Ronald Thornton
IRN RXT00068
- (630)CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)
Ronald Walker
IRN RXW00009
- (15)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Mayfair Associates (no longer appointed)
FRN 210617 · Appointed 25 Mar 2002 · Until 26 Feb 2003
Financial Solutions Midhurst (no longer appointed)
FRN 210444 · Appointed 13 Mar 2002 · Until 3 Jun 2003
Jason McGuire (no longer appointed)
FRN 209956 · Appointed 19 Feb 2002 · Until 3 Jun 2003
Chilterns (no longer appointed)
FRN 209963 · Appointed 19 Feb 2002 · Until 3 Jun 2003
Border Asset Management (no longer appointed)
FRN 209501 · Appointed 1 Feb 2002 · Until 3 Jun 2003
CFH Financial Practice (no longer appointed)
FRN 209424 · Appointed 31 Jan 2002 · Until 3 Jun 2003
Robert Thompson (no longer appointed)
FRN 208754 · Appointed 16 Jan 2002 · Until 3 Jun 2003
Landmark Independent Mortgage Services (no longer appointed)
FRN 208700 · Appointed 15 Jan 2002 · Until 18 Oct 2002
RBIG Corporate Risk Services Ltd (no longer appointed)
FRN 208666 · Appointed 14 Jan 2002 · Until 17 Feb 2005
The Will Writer (no longer appointed)
FRN 208665 · Appointed 14 Jan 2002 · Until 3 Jun 2003

Recent activity

Updates to this firm's record on the FCA register.

3 days ago
controlled function added: (2220)[FCA CF] Material risk taker
3 days ago
controlled function added: (2219)CF21 Investment Adviser
3 days ago
controlled function added: (2218)Director of firm who is not a certification employee or a SMF manager
3 days ago
controlled function added: (2217)CF12 Actuarial
3 days ago
controlled function added: (2216)CF21 Investment Adviser
3 days ago
controlled function added: (2215)CF22 Investment Adviser (Trainee)
3 days ago
controlled function added: (2214)CF10 Compliance Oversight
3 days ago
controlled function added: (2213)CF21 Investment Adviser
3 days ago
controlled function added: (2212)CF21 Investment Adviser
3 days ago
controlled function added: (2211)CF21 Investment Adviser

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.