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.

• Cassie Millington

  IRN CDM01113

  • [FCA CF] Client dealing (29 Sep 2021 to 30 Jun 2025)
  • [FCA CF] Functions requiring qualifications (29 Sep 2021 to 30 Jun 2025)
• Catherine Mumby

  IRN CXC00106

  • [FCA CF] Client dealing (18 Mar 2020 to 1 Jan 2026)
  • [FCA CF] Functions requiring qualifications (18 Mar 2020 to 1 Jan 2026)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Chad Edward Keye

  IRN CEK31033

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Nov 2021)
  • [FCA CF] Client dealing (since 17 Nov 2021)
• Charlotte Louise Rigg

  IRN CLR01047

  • [FCA CF] Client dealing (17 Feb 2020 to 2 Jul 2021)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 2 Jul 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Charlotte Phillips

  IRN CRP01070

  • [FCA CF] Client dealing (18 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (18 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Charlotte Williams

  IRN CXW00320

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Sep 2022)
  • [FCA CF] Client dealing (since 21 Sep 2022)
• Chistopher Neil Fenner

  IRN CNF01014

  • [FCA CF] Client dealing (17 Feb 2020 to 21 Mar 2024)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 21 Mar 2024)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Chloe Bull

  IRN CXB00144

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 29 Jun 2021)
  • [FCA CF] Client dealing (since 29 Jun 2021)
• Chris David Robert Leslie Fereday

  IRN CXF08670

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Jun 2022)
  • [FCA CF] Client dealing (since 28 Jun 2022)
• Christine Fox

  IRN CXF01521

  • [FCA CF] Client dealing (29 Sep 2021 to 21 Mar 2022)
  • [FCA CF] Functions requiring qualifications (29 Sep 2021 to 21 Mar 2022)

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