ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED

Watch for changes

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.

Neil Christopher Pritchard
IRN NCP00001
- (1409)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Neil Colin Foreman
IRN NCF00002
- (1566)CF22 Investment Adviser (Trainee) (8 May 2003 to 3 Jun 2003)
Neil Douglas Penketh
IRN NDP00014
- (895)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Neil Duncan Drummond
IRN NDD00001
- (173)CF21 Investment Adviser (1 Dec 2001 to 16 Feb 2002)
Neil Grahame Mathew Hall
IRN GMH00002
- (620)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Neil Haydon Francis
IRN NHF00003
- (2156)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Neil James Webb
IRN NJW00063
- (471)CF21 Investment Adviser (16 Dec 2002 to 3 Jun 2003)
- (470)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 16 Dec 2002)
Neil Johnson
IRN DNJ00004
- (1598)CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2002)
Neil Killoh
IRN NXK00014
- (570)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Neil Lawrence Fletcher
IRN NLF00002
- (1896)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Smaller firms operating under this firm's FCA authorisation.

Gail Spavin Wealth Management (no longer appointed)
FRN 222142 · Appointed 20 Jan 2003 · Until 3 Jun 2004
Oddie Dalton & Co Ltd (no longer appointed)
FRN 222101 · Appointed 17 Jan 2003 · Until 3 Jun 2004
David Taylor Estate Agents (no longer appointed)
FRN 222070 · Appointed 16 Jan 2003 · Until 19 Jan 2004
David Morley Ltd (no longer appointed)
FRN 222071 · Appointed 16 Jan 2003 · Until 3 Jun 2004
TWB (no longer appointed)
FRN 222051 · Appointed 15 Jan 2003 · Until 3 Jun 2004
JJ Abdul Nasser (no longer appointed)
FRN 222001 · Appointed 14 Jan 2003 · Until 3 Jun 2004
Forrest Mortgage Associates (no longer appointed)
FRN 221946 · Appointed 13 Jan 2003 · Until 3 Jun 2004
Forrest Tax & Estate Planning (no longer appointed)
FRN 221944 · Appointed 13 Jan 2003 · Until 3 Jun 2004
Martin & Martin (no longer appointed)
FRN 221936 · Appointed 13 Jan 2003 · Until 3 Jun 2004
Susan Davies (no longer appointed)
FRN 221940 · Appointed 13 Jan 2003 · Until 23 Mar 2004

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

11 hours ago
controlled function added: (94)SMF7 Group Entity Senior Manager
11 hours ago
controlled function added: (93)SMF7 Group Entity Senior Manager
11 hours ago
controlled function added: (92)SMF17 Money Laundering Reporting Officer (MLRO)
11 hours ago
controlled function added: (91)SMF2 Chief Finance
11 hours ago
controlled function added: (90)SMF3 Executive Director
11 hours ago
controlled function added: (89)[FCA CF] Significant management
11 hours ago
controlled function added: (88)[FCA CF] Functions requiring qualifications
11 hours ago
controlled function added: (87)[FCA CF] Manager of certification employee
11 hours ago
controlled function added: (86)[FCA CF] Material risk taker
11 hours ago
controlled function added: (85)[FCA CF] Client dealing

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.