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.

Karine Catherine Griffin
IRN KCG00001
- (76)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Karl David Hames
IRN KDH00003
- (1778)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Karl Reginald Lehmann
IRN KRL00005
- (1464)CF22 Investment Adviser (Trainee) (20 May 2003 to 3 Jun 2003)
Karuneswari Moorthy
IRN KXM00006
- (1190)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Jan 2002)
Katherine Asquith Stacey
IRN KAS00002
- (692)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Katherine Helen Ridland
IRN KHR00006
- (1879)CF21 Investment Adviser (19 Sep 2002 to 3 Jun 2003)
- (1878)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Sep 2002)
Katherine Jane McGrory
IRN KJM00064
- (616)CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Apr 2002)
Kathleen Burton
IRN KXB00042
- (521)CF21 Investment Adviser (13 May 2002 to 3 Sep 2002)
Kathleen Mary Peden
IRN KMP00009
- (774)CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
Kathryn Laura Margeson
IRN KLM00004
- (147)CF21 Investment Adviser (19 Mar 2003 to 3 Jun 2003)
- (146)CF22 Investment Adviser (Trainee) (29 Oct 2002 to 19 Mar 2003)

Smaller firms operating under this firm's FCA authorisation.

The Clarke Financial Partnership (no longer appointed)
FRN 194012 · Appointed 2 Dec 1999 · Until 3 Jun 2004
Watercress Associates Ltd (no longer appointed)
FRN 193967 · Appointed 1 Dec 1999 · Until 8 Jul 2003
Tower York Financial Services (Alan Brown) (no longer appointed)
FRN 192334 · Appointed 1 Dec 1999 · Until 3 Jun 2004
JRF Mortgages (no longer appointed)
FRN 201559 · Appointed 1 Dec 1999 · Until 30 Oct 2003
Alan Reed Management (no longer appointed)
FRN 192336 · Appointed 25 Nov 1999 · Until 3 Jun 2004
Teachers Pensions Services (Chris Scott) (no longer appointed)
FRN 192433 · Appointed 23 Nov 1999 · Until 3 Jun 2004
Nevill Associates (no longer appointed)
FRN 192468 · Appointed 23 Nov 1999 · Until 3 Jun 2004
Michael Symonds (no longer appointed)
FRN 188950 · Appointed 23 Nov 1999 · Until 3 Jun 2004
Clifford David Associates (no longer appointed)
FRN 192436 · Appointed 23 Nov 1999 · Until 3 Jun 2004
Hampstons Estates Limited (no longer appointed)
FRN 201782 · Appointed 15 Nov 1999 · Until 3 Jun 2004

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

8 hours ago
controlled function added: (54)[FCA CF] Material risk taker
8 hours ago
controlled function added: (53)[FCA CF] Material risk taker
8 hours ago
controlled function added: (52)[FCA CF] Material risk taker
8 hours ago
controlled function added: (51)[FCA CF] Significant management
8 hours ago
controlled function added: (50)[FCA CF] Material risk taker
8 hours ago
controlled function added: (49)[FCA CF] Significant management
8 hours ago
controlled function added: (48)[FCA CF] Significant management
8 hours ago
controlled function added: (47)[FCA CF] Material risk taker
8 hours ago
controlled function added: (46)[FCA CF] Functions requiring qualifications
8 hours 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.