ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED

Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Senior staff personally approved by the FCA to hold their roles here.

Stephen Martin Lennon
IRN SXL00078
- (453)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen McCormack
IRN SXM00293
- (734)CF22 Investment Adviser (Trainee) (19 Mar 2003 to 3 Jun 2003)
Stephen Michael Adsett
IRN SMA00001
- (1833)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Michael Pearce
IRN SMP00003
- (109)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Mitchell
IRN SXM00185
- (1250)CF21 Investment Adviser (13 May 2002 to 3 Jun 2003)
- (1249)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 May 2002)
Stephen Nicholas Giles
IRN SNG00001
- (1757)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Paul Chambers
IRN SPC00005
- (853)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Paul Hepworth
IRN SXH00129
- (675)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Dec 2001)
Stephen Paul Lewis
IRN SXL00091
- (584)CF21 Investment Adviser (22 Nov 2002 to 3 Jun 2003)
Stephen Paul Williams
IRN SPW01084
- (1050)CF1 Director (1 Dec 2001 to 2 Jun 2008)

Smaller firms operating under this firm's FCA authorisation.

Des Barron (no longer appointed)
FRN 195479 · Appointed 10 Apr 2001 · Until 3 Jun 2004
Allen Roberts & Associates (no longer appointed)
FRN 195437 · Appointed 2 Apr 2001 · Until 3 Jun 2004
Mortgage Matters Ltd (no longer appointed)
FRN 201974 · Appointed 2 Apr 2001 · Until 3 Jun 2004
CGA Financial & Investment Services Limited (no longer appointed)
FRN 201973 · Appointed 30 Mar 2001 · Until 3 Jun 2004
MRB Mortgage Services (no longer appointed)
FRN 201972 · Appointed 30 Mar 2001 · Until 3 Jun 2004
Talkwise (no longer appointed)
FRN 195404 · Appointed 29 Mar 2001 · Until 3 Jun 2004
Mary Cunningham Financial Solutions (no longer appointed)
FRN 201965 · Appointed 28 Mar 2001 · Until 3 Jun 2004
The Elegant Solution Company (no longer appointed)
FRN 201946 · Appointed 28 Mar 2001 · Until 3 Jun 2004
John Gough (no longer appointed)
FRN 201945 · Appointed 27 Mar 2001 · Until 3 Jun 2004
Paul.F Muxlow Financial Services (no longer appointed)
FRN 195349 · Appointed 27 Mar 2001 · Until 21 May 2002

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

5 days ago
controlled function added: (14)[FCA CF] Client dealing
5 days ago
controlled function added: (13)14. Managing investments
5 days ago
controlled function added: (12)[FCA CF] Functions requiring qualifications
5 days ago
controlled function added: (11)[FCA CF] Client dealing
5 days ago
controlled function added: (10)14. Managing investments
5 days ago
controlled function added: (9)[FCA CF] Significant management
5 days ago
controlled function added: (8)[FCA CF] Material risk taker
5 days ago
controlled function added: (7)[FCA CF] Significant management
5 days ago
controlled function added: (6)[FCA CF] Manager of certification employee
5 days ago
controlled function added: (5)[FCA CF] Functions requiring qualifications

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.