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.

Nicholas Michael Maguire
IRN NXM00032
- (1416)CF21 Investment Adviser (1 Dec 2001 to 24 Oct 2002)
Nicholas Michael Salisbury
IRN NMS00002
- (583)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Nicholas Paul Hey
IRN NPH00001
- (1235)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Nicholas Taylor
IRN NXT00003
- (1772)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Nicholas Tobias Patrick Ingram
IRN NTI00001
- (1138)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Nicholas Toby Martin
IRN NTM00002
- (1476)CF22 Investment Adviser (Trainee) (28 Apr 2003 to 3 Jun 2003)
Nicholas Trevor Hoare
IRN NTH00004
- (703)CF21 Investment Adviser (27 Jun 2003 to 27 Jun 2003)
- (702)CF22 Investment Adviser (Trainee) (5 Nov 2002 to 27 Jun 2003)
Nicholas William Illingsworth
IRN NWI00001
- (1647)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Nicola Harrison
IRN NLC00002
- (1650)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Nicola Janine Johnson
IRN NJJ00014
- (1266)CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Mike Elder (no longer appointed)
FRN 181744 · Appointed 8 Oct 1996 · Until 3 Jun 2003
Leeds Mortgage Centre (no longer appointed)
FRN 181933 · Appointed 1 Oct 1996 · Until 3 Jun 2003
Mortgage Select (no longer appointed)
FRN 185107 · Appointed 1 Sep 1996 · Until 27 Mar 2002
Meridian Partnership (no longer appointed)
FRN 184505 · Appointed 1 Aug 1996 · Until 3 Jun 2003
Allied Mortgage Services (no longer appointed)
FRN 181844 · Appointed 1 Jul 1996 · Until 3 Jun 2003
Kenneth Horne (no longer appointed)
FRN 180428 · Appointed 27 Jun 1996 · Until 27 Mar 2002
The Self Assessment Co Limited (no longer appointed)
FRN 181615 · Appointed 19 Jun 1996 · Until 27 Mar 2002
Jim Kerr Financial Services (no longer appointed)
FRN 200948 · Appointed 17 Jun 1996 · Until 3 Jun 2003
Adam Harborow (no longer appointed)
FRN 179680 · Appointed 28 May 1996 · Until 3 Jun 2003
Lion Associates (Financial Planning) Ltd (no longer appointed)
FRN 179666 · Appointed 2 May 1996 · Until 20 Apr 2005

Recent activity

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

3 days ago
controlled function added: (41)[FCA CF] Material risk taker
3 days ago
controlled function added: (40)[FCA CF] Material risk taker
3 days ago
controlled function added: (39)[FCA CF] Material risk taker
3 days ago
controlled function added: (38)[FCA CF] Significant management
3 days ago
controlled function added: (37)[FCA CF] Material risk taker
3 days ago
controlled function added: (36)[FCA CF] Significant management
3 days ago
controlled function added: (35)[FCA CF] Material risk taker
3 days ago
controlled function added: (34)[FCA CF] Significant management
3 days ago
controlled function added: (33)[FCA CF] Material risk taker
3 days ago
controlled function added: (32)[FCA CF] 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.