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.

David John Mitchell
IRN DJM00013
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
David Johnson
IRN DXJ00003
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2003)
David Joseph Henley
IRN DJH00131
- CF21 Investment Adviser (25 Nov 2002 to 3 Jun 2003)
- CF22 Investment Adviser (Trainee) (19 Jun 2002 to 25 Nov 2002)
David Kenna Lawson
IRN DKL00001
- CF22 Investment Adviser (Trainee) (31 Mar 2003 to 3 Jun 2003)
David Kerr
IRN DXK01209
- CF22 Investment Adviser (Trainee) (10 Jun 2003 to 11 Jun 2003)
David Laurence Baldwin
IRN DLB00008
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
David Leslie Davies
IRN DLD00002
- CF21 Investment Adviser (1 Dec 2001 to 2 Jan 2003)
David Lloyd Thompson
IRN DLT00001
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
David Lomax
IRN DXL00079
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2002)
David Marshall
IRN DXM00030
- CF22 Investment Adviser (Trainee) (19 May 2003 to 3 Jun 2003)

Smaller firms operating under this firm's FCA authorisation.

Kenneth Horne (no longer appointed)
FRN 180428 · Appointed 27 Jun 1996 · Until 3 Jun 2004
The Self Assessment Co Limited (no longer appointed)
FRN 181615 · Appointed 19 Jun 1996 · Until 3 Jun 2004
Jim Kerr Financial Services (no longer appointed)
FRN 200948 · Appointed 17 Jun 1996 · Until 3 Jun 2004
Adam Harborow (no longer appointed)
FRN 179680 · Appointed 28 May 1996 · Until 3 Jun 2004
Lion Associates (Financial Planning) Ltd (no longer appointed)
FRN 179666 · Appointed 2 May 1996 · Until 20 Apr 2005
Stephen Rowe (no longer appointed)
FRN 192819 · Appointed 1 May 1996 · Until 3 Jun 2004
Cougar Management Services Ltd (no longer appointed)
FRN 200991 · Appointed 30 Apr 1996 · Until 3 Jun 2004
Wissenbach Plc (no longer appointed)
FRN 200994 · Appointed 24 Apr 1996 · Until 3 Jun 2004
James Sugrue (no longer appointed)
FRN 200921 · Appointed 9 Apr 1996 · Until 3 Jun 2004
The Ridgeway Will Company Ltd (no longer appointed)
FRN 180648 · Appointed 3 Apr 1996 · Until 3 Jun 2004

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

No changes recorded yet.

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.