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.

• Damien Goodall

  IRN DXG67872

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 28 Jun 2021)
• Damien John Hopkins

  IRN DJH01380

  • [FCA CF] Manager of certification employee (18 Jun 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (11 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Daniel Hillier

  IRN DXH02289

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 11 Nov 2022)
  • [FCA CF] Client dealing (since 11 Nov 2022)
• Daniel Neville Brock

  IRN DXB00682

  • [FCA CF] Client dealing (11 Jul 2022 to 21 Jun 2023)
  • [FCA CF] Functions requiring qualifications (11 Jul 2022 to 21 Jun 2023)
• Daniel Nicholas Champion

  IRN DNC01038

  • 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] Functions requiring qualifications (since 15 May 2020)
  • [FCA CF] Client dealing (since 15 May 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Daniel Stuart Weaver

  IRN DSW01098

  • 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 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Daniel Theyer

  IRN DXT15895

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 10 Feb 2020)
  • [FCA CF] Client dealing (since 10 Feb 2020)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Danielle Griffiths

  IRN DXG00331

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

  IRN DXH00372

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 26 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Mar 2021)
• Darran Mark Curtis

  IRN DMC01199

  • [FCA CF] Functions requiring qualifications (22 Jan 2020 to 1 Oct 2021)
  • [FCA CF] Client dealing (22 Jan 2020 to 1 Oct 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)

No changes recorded yet.