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.

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.

2 days ago
controlled function added: (64)[FCA CF] Significant management
2 days ago
controlled function added: (63)[FCA CF] Material risk taker
2 days ago
controlled function added: (62)[FCA CF] Significant management
2 days ago
controlled function added: (61)[FCA CF] Material risk taker
2 days ago
controlled function added: (60)[FCA CF] Significant management
2 days ago
controlled function added: (59)[FCA CF] Material risk taker
2 days ago
controlled function added: (58)Director of firm who is not a certification employee or a SMF manager
2 days ago
controlled function added: (57)[FCA CF] Manager of certification employee
2 days ago
controlled function added: (56)[FCA CF] Significant management
2 days ago
controlled function added: (55)[FCA CF] Material risk taker

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.