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
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- · 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.

Mark Stephen Richmond
IRN MSR00022
- (263)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Stuart Fraser
IRN MSF00008
- (1667)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Stuart Roberts
IRN MSR00024
- (227)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Thomas Delaney
IRN MXD00007
- (1052)CF21 Investment Adviser (1 Dec 2001 to 18 Mar 2002)
Mark Thomas FitzPatrick
IRN MTF00007
- (75)SMF7 Group Entity Senior Manager (since 30 Nov 2023)
Mark Thomas Shields
IRN MTS00002
- (292)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Timothy Bennett
IRN MAB00068
- (1015)CF22 Investment Adviser (Trainee) (11 Jun 2002 to 11 Apr 2003)
Mark William Clifford
IRN MWC00001
- (45)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark William Newman
IRN MXN01172
- (3)[FCA CF] Material risk taker (since 15 Aug 2025)
- (1472)[FCA CF] Significant management (27 Apr 2021 to 18 Mar 2025)
Martin Andrew Abrams
IRN MXA00096
- (171)CF22 Investment Adviser (Trainee) (31 Mar 2003 to 3 Jun 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Personal Financial Profile Limited (no longer appointed)
FRN 186274 · Appointed 8 Aug 1997 · Until 3 Jun 2003
Mark Scorer and Associates (no longer appointed)
FRN 185101 · Appointed 5 Aug 1997 · Until 3 Jun 2003
Peter Kell (no longer appointed)
FRN 184778 · Appointed 5 Aug 1997 · Until 3 Jun 2003
Newhouse Independent Mortgage Brokers (no longer appointed)
FRN 184781 · Appointed 2 Aug 1997 · Until 17 Nov 2004
HK Singh & Co (no longer appointed)
FRN 201090 · Appointed 1 Aug 1997 · Until 3 Jun 2003
DWM Marketing (no longer appointed)
FRN 185027 · Appointed 1 Aug 1997 · Until 3 Jun 2003
Clive Walker (no longer appointed)
FRN 185102 · Appointed 28 Jul 1997 · Until 3 Jun 2003
Advance Business Service (no longer appointed)
FRN 201032 · Appointed 25 Jul 1997 · Until 3 Jun 2003
Nabarro Advertising & Management Ltd (no longer appointed)
FRN 193969 · Appointed 25 Jul 1997 · Until 3 Jun 2003
Simon Elton Estates Limited (no longer appointed)
FRN 201047 · Appointed 11 Jul 1997 · Until 3 Jun 2003

Recent activity

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

3 days ago
controlled function added: (2160)CF22 Investment Adviser (Trainee)
3 days ago
controlled function added: (2159)CF2 Non Executive Director
3 days ago
controlled function added: (2158)SMF11 Chair of the Audit Committee
3 days ago
controlled function added: (2157)SIMF11 Chair of the Audit Committee
3 days ago
controlled function added: (2156)CF21 Investment Adviser
3 days ago
controlled function added: (2155)CF21 Investment Adviser
3 days ago
controlled function added: (2154)CF21 Investment Adviser
3 days ago
controlled function added: (2153)CF1 Director
3 days ago
controlled function added: (2152)CF16 Significant Mgt (Desgntd Investment Business)
3 days ago
controlled function added: (2151)CF29 Significant management

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.