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.

Richard Miles Broughton
IRN RMB00005
- (1343)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Paul Ash
IRN RPA00010
- (1769)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Paul Toll
IRN RPT00001
- (1386)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Peter Jacques Janvier
IRN RPJ00001
- (2055)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard Wadeson
IRN RXW00013
- (51)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard William Horton
IRN RWH00004
- (668)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Richard William Pollock
IRN RWP00029
- (2077)CF21 Investment Adviser (13 May 2002 to 3 Jun 2003)
Richard William Reith
IRN RWR00010
- (2121)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Robert Alastair Briggs
IRN RAB00022
- (1645)CF22 Investment Adviser (Trainee) (9 Jun 2003 to 9 Jun 2003)
Robert Andrew Hughes
IRN RAH01174
- (343)CF22 Investment Adviser (Trainee) (29 May 2002 to 3 Apr 2003)

Smaller firms operating under this firm's FCA authorisation.

Universal Personnel Services Ltd (no longer appointed)
FRN 192506 · Appointed 18 Oct 1999 · Until 22 Jul 2003
Executive & Corporate Mortgagtes (Alistair Coomer) (no longer appointed)
FRN 193689 · Appointed 13 Oct 1999 · Until 3 Jun 2004
Dave Wollacott Mortgage Services (no longer appointed)
FRN 192454 · Appointed 13 Oct 1999 · Until 20 Aug 2003
Richard Conway Services (no longer appointed)
FRN 192496 · Appointed 12 Oct 1999 · Until 3 Jun 2004
Lindsay Hopkins (no longer appointed)
FRN 194112 · Appointed 11 Oct 1999 · Until 19 Jan 2004
David James Accountants Ltd (no longer appointed)
FRN 201739 · Appointed 11 Oct 1999 · Until 3 Jun 2004
Persell & Co (no longer appointed)
FRN 194004 · Appointed 8 Oct 1999 · Until 3 Jun 2004
Complete Mortgages (no longer appointed)
FRN 193917 · Appointed 8 Oct 1999 · Until 3 Jun 2004
Sol Management Services Ltd (no longer appointed)
FRN 193955 · Appointed 8 Oct 1999 · Until 3 Jun 2004
Hallmark Financial Planning (Clive Hall) (no longer appointed)
FRN 192438 · Appointed 1 Oct 1999 · Until 3 Jun 2004

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

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.