Embark Investment Services Limited

• Principal Place of Business

  Lloyds Banking Group, 33 Old Broad Street

  London

  City Of London

  EC2N 1HZ

  UNITED KINGDOM

  Phone

  +4403300242345

  Web

  https://scottishwidows.co.uk/platform

• Complaints Contact

  PO Box 24165

  Edinburgh

  EH3 1HD

  UNITED KINGDOM

  Phone

  +4403300242345

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Insurance Admin

  For Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · The firm is limited dealing as a principal in investments in the rights under the scheme(s) that it operates.

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Sarah Shanks

  IRN SXS46779

  • [FCA CF] Client dealing (31 Jan 2021 to 31 Oct 2024)
  • [FCA CF] Functions requiring qualifications (31 Jan 2021 to 31 Jan 2022)
• Scott Cameron Guild

  IRN SXG14518

  • SMF3 Executive Director (17 Jan 2023 to 31 Aug 2024)
  • SMF2 Chief Finance (3 Oct 2022 to 31 Aug 2024)
• Sean Carl Quinn

  IRN SCQ00003

  • [FCA CF] CASS oversight function (17 Nov 2024 to 13 May 2025)
  • [FCA CF] Material risk taker (17 Nov 2024 to 11 Apr 2025)
  • [FCA CF] Manager of certification employee (1 Aug 2024 to 2 Apr 2025)
• Shahida Walthew

  IRN SXW01242

  • [FCA CF] Client dealing (since 31 Jan 2021)
  • [FCA CF] Functions requiring qualifications (31 Jan 2021 to 28 Jan 2022)
• Shingirai Thaddeus Nyahasha

  IRN STN01013

  • SMF2 Chief Finance (since 1 Sep 2024)
  • SMF3 Executive Director (since 1 Sep 2024)
• Simon Charles Smith

  IRN SCS01138

  • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2020)
  • CF1 Director (2 Jan 2019 to 8 Dec 2019)
  • CF10a CASS Oversight function (12 Sep 2017 to 8 Dec 2019)
• Sophie Jane O'Connor

  IRN SJO01101

  • SMF13 Chair of the Nominations Committee (28 Apr 2023 to 30 Sep 2023)
  • SMF9 Chair of the Governing Body (17 Jan 2023 to 30 Sep 2023)
• Stephanie Christa Tait

  IRN SXT00244

  • [FCA CF] Functions requiring qualifications (31 Jan 2021 to 2 Apr 2024)
• Stephen John Mountford

  IRN SXM00633

  • [FCA CF] Material risk taker (31 Jan 2021 to 31 Dec 2023)
  • [FCA CF] Significant management (31 Jan 2021 to 1 Aug 2024)
• Stephen Robert Shelley

  IRN SRS01112

  • SMF7 Group Entity Senior Manager (since 1 Sep 2024)

No changes recorded yet.