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.

• Christopher Andrew Burt

  IRN CAB01093

  • 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] Client dealing (since 28 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Christopher Andrew Iles

  IRN CAI01022

  • [FCA CF] Client dealing (28 Sep 2022 to 18 Sep 2023)
  • [FCA CF] Functions requiring qualifications (28 Sep 2022 to 18 Sep 2023)
• Christopher Barnes

  IRN CXB68212

  • [FCA CF] Manager of certification employee (21 Apr 2020 to 31 Dec 2024)
• Christopher Batten

  IRN CXB00449

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 29 Jul 2024)
  • [FCA CF] Client dealing (since 7 Jun 2021)
  • [FCA CF] Functions requiring qualifications (7 Jun 2021 to 18 Nov 2022)
• Christopher Deeming

  IRN TCD01020

  • [FCA CF] Client dealing (8 Jun 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (8 Jun 2020 to 7 Apr 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Christopher James Caddick

  IRN CJC00067

  • 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] Client dealing (since 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Christopher James McMahon

  IRN CJM01421

  • 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 18 Nov 2022)
  • [FCA CF] Client dealing (since 18 Nov 2022)
• Christopher John Andrews

  IRN CJA01082

  • [FCA CF] Functions requiring qualifications (19 May 2020 to 7 Mar 2021)
  • [FCA CF] Client dealing (19 May 2020 to 7 Mar 2021)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Christopher John Bridges

  IRN CJB01257

  • [FCA CF] Functions requiring qualifications (20 Apr 2020 to 20 May 2021)
  • [FCA CF] Client dealing (20 Apr 2020 to 20 May 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Christopher John Hawker

  IRN CJH00093

  • [FCA CF] Client dealing (22 May 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (22 May 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)

No changes recorded yet.