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 Thomas Shaw
IRN STS00005
- (1443)CF21 Investment Adviser (1 Dec 2001 to 12 Jul 2002)
Stephen Thomas Wilson Bentley
IRN STB00001
- (1166)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Turner Mills
IRN STM00006
- (710)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen William Baxter
IRN SWB01062
- (1755)CF21 Investment Adviser (1 Nov 2002 to 6 Dec 2002)
- (1754)CF22 Investment Adviser (Trainee) (10 Jun 2002 to 1 Nov 2002)
Stephen William Richardson
IRN SWR01030
- (987)CF21 Investment Adviser (6 Dec 2001 to 6 Dec 2001)
Steve Anthony Marks
IRN SAM00058
- (725)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Steve Gilbert
IRN SGG00004
- (345)CF21 Investment Adviser (1 Dec 2001 to 15 Nov 2002)
Steven Broad
IRN SXB00164
- (1361)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Steven David Boughton
IRN SDB00007
- (1261)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Steven Day
IRN SXD00007
- (415)CF21 Investment Adviser (1 Dec 2001 to 14 May 2003)

Smaller firms operating under this firm's FCA authorisation.

David Raybould (no longer appointed)
FRN 221942 · Appointed 13 Jan 2003 · Until 3 Jun 2004
Halton Kelly Independent Property Sevices (no longer appointed)
FRN 221624 · Appointed 2 Jan 2003 · Until 3 Jun 2004
Capital Homes (no longer appointed)
FRN 221518 · Appointed 20 Dec 2002 · Until 3 Jun 2004
Selective Consulting Ltd (no longer appointed)
FRN 220983 · Appointed 30 Nov 2002 · Until 3 Jun 2004
Northern Mortgages Ltd (no longer appointed)
FRN 220982 · Appointed 30 Nov 2002 · Until 3 Jun 2004
MD Wealth Management (no longer appointed)
FRN 220981 · Appointed 30 Nov 2002 · Until 3 Jun 2004
Malcolm Gates Financial Services (no longer appointed)
FRN 220643 · Appointed 14 Nov 2002 · Until 3 Jun 2004
Dinford Alexandra Ltd (no longer appointed)
FRN 219999 · Appointed 24 Oct 2002 · Until 3 Jun 2004
Residential/Investment Mortgage Services Ltd (no longer appointed)
FRN 219285 · Appointed 26 Sep 2002 · Until 3 Jun 2004
HR Estate Planning Services (no longer appointed)
FRN 219286 · Appointed 26 Sep 2002 · Until 3 Jun 2004

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

4 days ago
controlled function added: (14)[FCA CF] Client dealing
4 days ago
controlled function added: (13)14. Managing investments
4 days ago
controlled function added: (12)[FCA CF] Functions requiring qualifications
4 days ago
controlled function added: (11)[FCA CF] Client dealing
4 days ago
controlled function added: (10)14. Managing investments
4 days ago
controlled function added: (9)[FCA CF] Significant management
4 days ago
controlled function added: (8)[FCA CF] Material risk taker
4 days ago
controlled function added: (7)[FCA CF] Significant management
4 days ago
controlled function added: (6)[FCA CF] Manager of certification employee
4 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.