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.

Mark Christopher Herron
IRN MCH00006
- (462)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Christopher Lally
IRN MCL00012
- (1935)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Daniel Scarry
IRN MDS00033
- (1292)CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
- (1291)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Sep 2002)
Mark David Andrews
IRN MDA00002
- (1780)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Dean Hardy
IRN MDH00019
- (807)CF21 Investment Adviser (15 Apr 2003 to 3 Jun 2003)
Mark Dunford
IRN MXD00139
- (1764)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Edward Sutton
IRN MES00017
- (2125)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Francis Salt
IRN MFS00009
- (1063)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Mark Frank Robinson
IRN MFR00002
- (1688)CF22 Investment Adviser (Trainee) (6 Mar 2003 to 3 Jun 2003)
Mark Frederick Taylor
IRN MFT00001
- (1810)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

MP Moore (no longer appointed)
FRN 178206 · Appointed 14 Mar 1994 · Until 3 Jun 2003
Wissenbach Wealth Management LLP (no longer appointed)
FRN 166024 · Appointed 17 Feb 1994 · Until 3 Jun 2003
Nexus Structured Finance Limited (no longer appointed)
FRN 169671 · Appointed 3 Feb 1994 · Until 3 Jun 2003
Tayler Bradshaw (no longer appointed)
FRN 180652 · Appointed 1 Jan 1994 · Until 3 Jun 2003
Jamal S Samerai (no longer appointed)
FRN 176073 · Appointed 1 Jan 1994 · Until 27 Mar 2002
Peter Crofts (no longer appointed)
FRN 183660 · Appointed 6 Dec 1993 · Until 5 Dec 2003
Willbank (UK) Professional Will Writers Ltd (no longer appointed)
FRN 183963 · Appointed 30 Nov 1993 · Until 3 Jun 2003
Golding Chalke & Co (no longer appointed)
FRN 178979 · Appointed 1 Nov 1993 · Until 3 Jun 2003
Schofield Daniel & Hirst Ltd (no longer appointed)
FRN 175304 · Appointed 13 Oct 1993 · Until 18 Oct 2002
The Hon Mrs Caroline Parr (no longer appointed)
FRN 178600 · Appointed 1 Oct 1993 · 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.