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.

• Darren Michael Griffiths

  IRN DMG00023

  • CF30 Customer (7 Jun 2019 to 12 Jul 2019)
• Darren Paul Locker

  IRN DPL00007

  • 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 21 Jan 2021)
  • [FCA CF] Client dealing (since 21 Jan 2021)
• Darren Williamson

  IRN DXW00141

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 7 Apr 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• David Alan Embery

  IRN DAE01025

  • [FCA CF] Manager of certification employee (10 Aug 2020 to 7 Apr 2021)
• David Allen Taylor

  IRN DAT00013

  • [FCA CF] Client dealing (10 Jun 2020 to 7 Feb 2021)
  • [FCA CF] Functions requiring qualifications (10 Jun 2020 to 7 Feb 2021)
  • CF30 Customer (28 Oct 2019 to 8 Dec 2019)
• David Amey

  IRN DXA00325

  • [FCA CF] Client dealing (12 Apr 2023 to 9 Apr 2024)
  • [FCA CF] Functions requiring qualifications (12 Apr 2023 to 9 Apr 2024)
• David Anthony Hoyle

  IRN DAH01131

  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (24 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• David Christopher Losinski

  IRN DCL00010

  • [FCA CF] Functions requiring qualifications (25 May 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (25 May 2020 to 7 Apr 2021)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• David Colwyn Parry

  IRN DCP00026

  • [FCA CF] Manager of certification employee (10 Aug 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (9 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• David Francis Martin

  IRN DXM00572

  • [FCA CF] Client dealing (29 Sep 2021 to 7 Jul 2022)
  • [FCA CF] Functions requiring qualifications (29 Sep 2021 to 7 Jul 2022)

No changes recorded yet.