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.

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.

Motley Wealth Management Limited (no longer appointed)
FRN 207119 · Appointed 30 Oct 2001 · Until 3 Jun 2003
PFM Financial Solutions (no longer appointed)
FRN 207116 · Appointed 30 Oct 2001 · Until 3 Jun 2003
Walter Tow (no longer appointed)
FRN 207130 · Appointed 30 Oct 2001 · Until 3 Jun 2003
Clifford Charles Linsdell Mortgage & Business Adviser (no longer appointed)
FRN 207120 · Appointed 30 Oct 2001 · Until 3 Jun 2003
Ellis Financial Management (no longer appointed)
FRN 207127 · Appointed 30 Oct 2001 · Until 3 Jun 2003
Abacus Insurance Services (no longer appointed)
FRN 207118 · Appointed 30 Oct 2001 · Until 7 Dec 2004
Peter Waugh (no longer appointed)
FRN 207110 · Appointed 29 Oct 2001 · Until 5 Dec 2002
Resource Consolidated Ltd (no longer appointed)
FRN 197106 · Appointed 19 Oct 2001 · Until 3 Jun 2003
Henri Sauleek (no longer appointed)
FRN 197105 · Appointed 18 Oct 2001 · Until 21 Jan 2004
Knoyle Properties Ltd (no longer appointed)
FRN 196994 · Appointed 12 Oct 2001 · Until 23 Apr 2002

Recent activity

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

3 days ago
controlled function added: (2100)CF21 Investment Adviser
3 days ago
controlled function added: (2099)CF22 Investment Adviser (Trainee)
3 days ago
controlled function added: (2098)CF21 Investment Adviser
3 days ago
controlled function added: (2097)CF21 Investment Adviser
3 days ago
controlled function added: (2096)CF21 Investment Adviser
3 days ago
controlled function added: (2095)CF21 Investment Adviser
3 days ago
controlled function added: (2094)CF22 Investment Adviser (Trainee)
3 days ago
controlled function added: (2093)CF21 Investment Adviser
3 days ago
controlled function added: (2092)CF21 Investment Adviser
3 days ago
controlled function added: (2091)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.