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.

Richard Carr (no longer appointed)
FRN 201083 · Appointed 1 May 1995 · Until 3 Jun 2004
Anthony C Marangos (no longer appointed)
FRN 179430 · Appointed 1 May 1995 · Until 3 Jun 2004
The Mortgage Desk (no longer appointed)
FRN 176708 · Appointed 13 Mar 1995 · Until 3 Jun 2004
Lapada (no longer appointed)
FRN 201790 · Appointed 17 Feb 1995 · Until 3 Jun 2004
David Staley (no longer appointed)
FRN 176197 · Appointed 3 Feb 1995 · Until 3 Jun 2004
Michael Whitewood (no longer appointed)
FRN 176198 · Appointed 3 Feb 1995 · Until 3 Jun 2004
Royle Consulting Group (no longer appointed)
FRN 178324 · Appointed 1 Feb 1995 · Until 3 Jun 2004
Olmec Securities Ltd (no longer appointed)
FRN 178313 · Appointed 1 Jan 1995 · Until 3 Jun 2004
Telcourt (no longer appointed)
FRN 183794 · Appointed 1 Jan 1995 · Until 3 Jun 2004
Retirement Care Group (no longer appointed)
FRN 181748 · Appointed 30 Nov 1994 · Until 3 Jun 2004

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

1 week ago
controlled function added: (2215)[FCA CF] Significant management
1 week ago
controlled function added: (2214)[FCA CF] Material risk taker
1 week ago
controlled function added: (2213)CF22 Investment Adviser (Trainee)
1 week ago
controlled function added: (2212)CF1 Director
1 week ago
controlled function added: (2211)CF16 Significant Mgt (Desgntd Investment Business)
1 week ago
controlled function added: (2210)CF29 Significant management
1 week ago
controlled function added: (2209)SMF24 Chief Operations
1 week ago
controlled function added: (2208)CF21 Investment Adviser
1 week ago
controlled function added: (2207)[FCA CF] Significant management
1 week ago
controlled function added: (2206)[FCA CF] Material risk taker

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.