ST. JAMES'S PLACE UK PLC

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

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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)
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- · 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.

Peter William Halford
IRN PWH00005
- (1250)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Peter William Simon Alis
IRN PWA00007
- (2058)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Peter William Todd
IRN PWT00009
- (636)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Peter Woodward Bailey
IRN PWB00024
- (1009)CF21 Investment Adviser (1 Nov 2002 to 3 Jun 2003)
- (1008)CF22 Investment Adviser (Trainee) (28 May 2002 to 1 Nov 2002)
Peter-John Lafferty
IRN PJL00003
- (949)CF22 Investment Adviser (Trainee) (15 Feb 2002 to 3 Jun 2003)
Philip Alexander Valentine
IRN PAV01018
- (2120)CF22 Investment Adviser (Trainee) (2 Jun 2003 to 3 Jun 2003)
Philip Alexander Walker
IRN PAW00026
- (1804)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Philip Andrew Hodkinson
IRN PAH01115
- (824)CF2 Non Executive Director (25 Mar 2002 to 22 Jul 2005)
Philip Andrew Taylor
IRN PAT00034
- (1440)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Philip Arnold
IRN PXA00010
- (635)CF21 Investment Adviser (9 Jun 2003 to 9 Jun 2003)
- (634)CF22 Investment Adviser (Trainee) (5 Feb 2003 to 9 Jun 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Parkers (Alan Mansi) (no longer appointed)
FRN 193682 · Appointed 24 Mar 2000 · Until 3 Jun 2003
Stephen Dadson Independent Mortgage Adviser (no longer appointed)
FRN 194005 · Appointed 22 Mar 2000 · Until 3 Jun 2003
Kingfisher Consultants (no longer appointed)
FRN 192432 · Appointed 22 Mar 2000 · Until 3 Jun 2003
Cartwright & Co (no longer appointed)
FRN 201729 · Appointed 20 Mar 2000 · Until 3 Jun 2003
Allard Associates Healthcare (no longer appointed)
FRN 193690 · Appointed 20 Mar 2000 · Until 17 Nov 2004
J Parker Associates (no longer appointed)
FRN 192420 · Appointed 15 Mar 2000 · Until 3 Jun 2003
Sacco Mann (no longer appointed)
FRN 192476 · Appointed 11 Mar 2000 · Until 3 Jun 2003
Mortgage Consultant (Ashley C Render) (no longer appointed)
FRN 193695 · Appointed 6 Mar 2000 · Until 11 Jul 2002
Abacus Credit Insurance (Stephen Oliver) (no longer appointed)
FRN 194119 · Appointed 6 Mar 2000 · Until 3 Jun 2003
South Yorkshire Accountancy Services (Alistair Hoblin) (no longer appointed)
FRN 192339 · Appointed 6 Mar 2000 · 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.