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.

Jimmy Guo Wong
IRN JXW00033
- (1201)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Joanna Elizabeth Stocks
IRN JES01149
- (1415)[FCA CF] Significant management (30 Nov 2022 to 1 Jun 2024)
Joanna Mary Cockerill
IRN JMC00007
- (1624)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Joanna Moran
IRN JXM43304
- (1486)[FCA CF] Significant management (9 Dec 2019 to 14 Jun 2024)
Joanna Wolfe
IRN JFB00002
- (925)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Joe Nunn
IRN JXN00032
- (641)CF21 Investment Adviser (1 Dec 2001 to 7 Jan 2002)
Johannes Hendrikus Paulich
IRN JHP00001
- (2047)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
John Alexander Guthrie
IRN JAG00032
- (1858)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
John Andrew Chambers
IRN JAC00042
- (752)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
John Anthony McKeever
IRN JAM00069
- (1548)CF21 Investment Adviser (19 Sep 2002 to 3 Jun 2003)
- (1547)CF22 Investment Adviser (Trainee) (2 Apr 2002 to 19 Sep 2002)

Smaller firms operating under this firm's FCA authorisation.

London & Edinburgh (no longer appointed)
FRN 193913 · Appointed 17 Apr 1998 · Until 3 Jun 2004
Universal Financial Mortgages (no longer appointed)
FRN 186681 · Appointed 8 Apr 1998 · Until 3 Jun 2004
BMP Associates (no longer appointed)
FRN 186537 · Appointed 23 Mar 1998 · Until 3 Jun 2004
John Cavilla Consultancy (no longer appointed)
FRN 187034 · Appointed 12 Mar 1998 · Until 3 Jun 2004
Goodwill Legacies Limited (no longer appointed)
FRN 187031 · Appointed 9 Mar 1998 · Until 3 Jun 2004
Cyril Lewis (no longer appointed)
FRN 135506 · Appointed 18 Feb 1998 · Until 3 Jun 2004
Prakash Ghadialy (no longer appointed)
FRN 186187 · Appointed 16 Feb 1998 · Until 3 Jun 2004
Peter Brooker (no longer appointed)
FRN 186459 · Appointed 10 Feb 1998 · Until 3 Jun 2004
On Line Mortgages Limited (no longer appointed)
FRN 187466 · Appointed 1 Feb 1998 · Until 3 Jun 2004
Freia Kennedy Financial Services (no longer appointed)
FRN 192020 · Appointed 27 Jan 1998 · Until 3 Jun 2004

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

9 hours ago
controlled function added: (94)SMF7 Group Entity Senior Manager
9 hours ago
controlled function added: (93)SMF7 Group Entity Senior Manager
9 hours ago
controlled function added: (92)SMF17 Money Laundering Reporting Officer (MLRO)
9 hours ago
controlled function added: (91)SMF2 Chief Finance
9 hours ago
controlled function added: (90)SMF3 Executive Director
9 hours ago
controlled function added: (89)[FCA CF] Significant management
9 hours ago
controlled function added: (88)[FCA CF] Functions requiring qualifications
9 hours ago
controlled function added: (87)[FCA CF] Manager of certification employee
9 hours ago
controlled function added: (86)[FCA CF] Material risk taker
9 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.