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 James Farmer
IRN SJF00044
- (907)CF21 Investment Adviser (1 Dec 2001 to 25 May 2002)
Stephen Jesse Hodgson
IRN SJH00029
- (1801)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen John Argyle
IRN SJA00006
- (271)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen John Fairs
IRN SJF00024
- (459)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen John Hudson
IRN SJH00136
- (550)CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2003)
Stephen Jon Wilkes
IRN SJW00017
- (364)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Joyce
IRN SXJ00011
- (1634)CF22 Investment Adviser (Trainee) (7 May 2003 to 3 Jun 2003)
Stephen Kenneth Probert
IRN SKP00004
- (1204)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Mark Bennett
IRN SXB00005
- (430)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Stephen Martin Harding
IRN SMH00002
- (1892)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 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.

3 days ago
controlled function added: (54)[FCA CF] Material risk taker
3 days ago
controlled function added: (53)[FCA CF] Material risk taker
3 days ago
controlled function added: (52)[FCA CF] Material risk taker
3 days ago
controlled function added: (51)[FCA CF] Significant management
3 days ago
controlled function added: (50)[FCA CF] Material risk taker
3 days ago
controlled function added: (49)[FCA CF] Significant management
3 days ago
controlled function added: (48)[FCA CF] Significant management
3 days ago
controlled function added: (47)[FCA CF] Material risk taker
3 days ago
controlled function added: (46)[FCA CF] Functions requiring qualifications
3 days ago
controlled function added: (45)4. Giving personal recommendations on retail investment products which are not broker funds

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.