ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED

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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.

Greensland Insurance Services Ltd (no longer appointed)
FRN 207073 · Appointed 16 Aug 2001 · Until 3 Jun 2004
Peter Hornby (no longer appointed)
FRN 207059 · Appointed 15 Aug 2001 · Until 3 Jun 2004
Nelson Sui Keung Cheng (no longer appointed)
FRN 207058 · Appointed 15 Aug 2001 · Until 3 Jun 2004
Tom Gibson (no longer appointed)
FRN 207055 · Appointed 9 Aug 2001 · Until 3 Jun 2004
CM Associates (no longer appointed)
FRN 207054 · Appointed 9 Aug 2001 · Until 3 Jun 2004
Mortgage & Property (no longer appointed)
FRN 207053 · Appointed 9 Aug 2001 · Until 3 Jun 2004
Julian Slade (no longer appointed)
FRN 206274 · Appointed 17 Jul 2001 · Until 3 Jun 2004
Sunningdale Asset Management (no longer appointed)
FRN 206275 · Appointed 17 Jul 2001 · Until 24 Sep 2003
A.E.W. Greenwall (no longer appointed)
FRN 206273 · Appointed 17 Jul 2001 · Until 3 Jun 2004
Essential Financial Strategies (no longer appointed)
FRN 196123 · Appointed 11 Jul 2001 · 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.