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)
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.

Richard Carney
IRN RXC00005
- (11)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Charles Evans
IRN RCE00008
- (1190)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Charles Paylor
IRN RCP00019
- (1588)CF21 Investment Adviser (1 Dec 2001 to 23 Jul 2002)
Richard Charles Travis
IRN RCT00001
- (124)CF21 Investment Adviser (1 Dec 2001 to 4 Jan 2003)
Richard Charles Young
IRN RCY00001
- (412)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Clive Credland-Proctor
IRN RCC00013
- (915)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Cooper
IRN RXC00117
- (541)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Derek Brattin
IRN RDB00048
- (1363)CF21 Investment Adviser (30 Dec 2002 to 3 Jun 2003)
- (1362)CF22 Investment Adviser (Trainee) (27 Aug 2002 to 30 Dec 2002)
Richard Desmond Fitzpatrick
IRN RDF00017
- (1959)CF21 Investment Adviser (13 May 2002 to 3 Jun 2003)
- (1958)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 May 2002)
Richard Edward Philip Beamont
IRN REB00003
- (122)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Whitestone Financial (no longer appointed)
FRN 220557 · Appointed 11 Nov 2002 · Until 3 Jun 2003
S M Consultancy (no longer appointed)
FRN 220555 · Appointed 11 Nov 2002 · Until 3 Jun 2003
Dinford Alexandra Ltd (no longer appointed)
FRN 219999 · Appointed 24 Oct 2002 · Until 3 Jun 2003
Partner Finance (no longer appointed)
FRN 219935 · Appointed 22 Oct 2002 · Until 3 Jun 2003
Meopham Mortgages Services (no longer appointed)
FRN 219934 · Appointed 22 Oct 2002 · Until 3 Jun 2003
Genesis Corporate Services Ltd (no longer appointed)
FRN 219552 · Appointed 7 Oct 2002 · Until 3 Jun 2003
M & M Mortgages (no longer appointed)
FRN 219453 · Appointed 3 Oct 2002 · Until 3 Jun 2003
AMTP Independent Mortgage Services (no longer appointed)
FRN 219433 · Appointed 3 Oct 2002 · Until 3 Jun 2003
Lockie Mortgage Consultants (no longer appointed)
FRN 219349 · Appointed 30 Sep 2002 · Until 3 Jun 2003
Andrew Brown 57 Ltd (no longer appointed)
FRN 219350 · Appointed 30 Sep 2002 · Until 3 Jun 2003

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.