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

  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.

• 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

  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.

• 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 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

  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.

• 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

  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.

• 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

  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.

• Debt Plan Admin

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• Christopher John Lomas

  IRN CJL00030

  • [FCA CF] Manager of certification employee (13 Jan 2020 to 8 Apr 2023)
• Christopher Knight

  IRN CXK00014

  • [FCA CF] Client dealing (24 Feb 2020 to 4 Jan 2022)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 4 Jan 2022)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Christopher Linnane

  IRN CXL00465

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Dec 2023)
  • [FCA CF] Client dealing (since 21 Dec 2023)
• Christopher Maclaren

  IRN CXM19743

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 29 May 2020)
  • [FCA CF] Client dealing (since 29 May 2020)
  • CF30 Customer (11 Oct 2019 to 8 Dec 2019)
• Christopher Mark Lawrence

  IRN CXL00106

  • [FCA CF] Client dealing (8 Feb 2023 to 5 Jan 2026)
  • [FCA CF] Functions requiring qualifications (8 Feb 2023 to 5 Jan 2026)
• Christopher Paul Homans

  IRN CXH17512

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 24 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2023)
• Christopher Pegg

  IRN CXP00193

  • [FCA CF] Client dealing (since 12 Nov 2020)
• Christopher Rowley

  IRN CJR01204

  • 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 11 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2020)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Christopher Williams

  IRN CXW00336

  • [FCA CF] Functions requiring qualifications (28 Jun 2021 to 11 Apr 2022)
  • [FCA CF] Client dealing (28 Jun 2021 to 11 Apr 2022)
• Chukwudebe David Leandro Onwuejeogwu Isioma

  IRN CDO01022

  • [FCA CF] Client dealing (10 Jun 2020 to 11 Jan 2022)
  • [FCA CF] Functions requiring qualifications (10 Jun 2020 to 11 Jan 2022)
  • CF30 Customer (8 Nov 2019 to 8 Dec 2019)

No changes recorded yet.