Scottish Widows Schroder Personal Wealth Limited

• Principal Place of Business

  25 Gresham Street

  London

  EC2V 7HN

  UNITED KINGDOM

  Phone

  +4408081092071

  Web

  https://www.spw.com

• Complaints Contact

  Schroders Personal Wealth

  1 City Square

  Leeds

  LS1 2ES

  UNITED KINGDOM

  Phone

  +4408081092071

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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.

• Authorised to Operate

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

• Arranges Investments

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

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

• Credit Brokering

• Stockbroking

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

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

• Debt Plan Admin

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Eligible Counterparty, 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.

• Manages Your Portfolio

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

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

• Bilgutay Onder Mustafa

  IRN BXM01501

  • [FCA CF] Client dealing (9 Sep 2021 to 15 Nov 2024)
  • [FCA CF] Functions requiring qualifications (9 Sep 2021 to 15 Nov 2024)
• Blake Howard Sibley

  IRN BHS01036

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2023)
• Bonnie Ann Stevens

  IRN BAS01079

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 3 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 3 Feb 2023)
• Bonnie Claire Farrell

  IRN BXF44722

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2022)
• Bradley Thomas

  IRN BXT15967

  • [FCA CF] Client dealing (19 May 2020 to 12 Feb 2021)
  • [FCA CF] Functions requiring qualifications (19 May 2020 to 12 Feb 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Brett Cranfield

  IRN BXC44748

  • [FCA CF] Client dealing (14 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (14 Feb 2020 to 7 Apr 2021)
• Brian David Joseph Walker

  IRN BDW01039

  • [FCA CF] Functions requiring qualifications (27 May 2020 to 22 Jan 2025)
  • [FCA CF] Client dealing (27 May 2020 to 22 Jan 2025)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Bruno Celimon

  IRN BPC01117

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 27 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 27 Apr 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• CERI ELIZABETH FINCH

  IRN CXF15961

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 20 May 2021)
  • [FCA CF] Client dealing (since 20 May 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Cahir Brian Gilheaney

  IRN CBG01039

  • [FCA CF] Client dealing (15 Sep 2022 to 27 Mar 2024)
  • [FCA CF] Functions requiring qualifications (15 Sep 2022 to 27 Mar 2024)

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