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.

Stephen Martin Lennon
IRN SXL00078
- (453)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen McCormack
IRN SXM00293
- (734)CF22 Investment Adviser (Trainee) (19 Mar 2003 to 3 Jun 2003)
Stephen Michael Adsett
IRN SMA00001
- (1833)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Michael Pearce
IRN SMP00003
- (109)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Mitchell
IRN SXM00185
- (1250)CF21 Investment Adviser (13 May 2002 to 3 Jun 2003)
- (1249)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 May 2002)
Stephen Nicholas Giles
IRN SNG00001
- (1757)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Paul Chambers
IRN SPC00005
- (853)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Paul Hepworth
IRN SXH00129
- (675)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Dec 2001)
Stephen Paul Lewis
IRN SXL00091
- (584)CF21 Investment Adviser (22 Nov 2002 to 3 Jun 2003)
Stephen Paul Williams
IRN SPW01084
- (1050)CF1 Director (1 Dec 2001 to 2 Jun 2008)

Smaller firms operating under this firm's FCA authorisation.

Mortgage Line Services (no longer appointed)
FRN 224341 · Appointed 14 Apr 2003 · Until 3 Jun 2004
Alastair Clarke & Co (no longer appointed)
FRN 223798 · Appointed 25 Mar 2003 · Until 28 Apr 2004
E M Manuel Goldman (no longer appointed)
FRN 223739 · Appointed 20 Mar 2003 · Until 3 Jun 2004
Trafalgar Square Financial Planning Consultants (no longer appointed)
FRN 223710 · Appointed 18 Mar 2003 · Until 3 Jun 2004
Advanced Financial Management (no longer appointed)
FRN 223709 · Appointed 18 Mar 2003 · Until 3 Jun 2004
Stepping Stones Estate Agents Ltd (no longer appointed)
FRN 223357 · Appointed 6 Mar 2003 · Until 3 Jun 2004
ACA Asset Finance Ltd (no longer appointed)
FRN 223209 · Appointed 28 Feb 2003 · Until 3 Jun 2004
Chris Haley (no longer appointed)
FRN 223202 · Appointed 28 Feb 2003 · Until 3 Jun 2004
Chris Webb Consultancy (no longer appointed)
FRN 223208 · Appointed 28 Feb 2003 · Until 3 Jun 2004
Authorised Financial Advisers (no longer appointed)
FRN 222956 · Appointed 19 Feb 2003 · Until 15 May 2003

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

3 days ago
controlled function added: (84)14. Managing investments
3 days ago
controlled function added: (83)[FCA CF] CASS oversight function
3 days ago
controlled function added: (82)[FCA CF] Manager of certification employee
3 days ago
controlled function added: (81)[FCA CF] Material risk taker
3 days ago
controlled function added: (80)[FCA CF] Significant management
3 days ago
controlled function added: (79)[FCA CF] Manager of certification employee
3 days ago
controlled function added: (78)[FCA CF] Material risk taker
3 days ago
controlled function added: (77)[FCA CF] Significant management
3 days ago
controlled function added: (76)[FCA CF] Material risk taker
3 days ago
controlled function added: (75)SMF7 Group Entity Senior Manager

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.