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.

• Adam Miles Charlton Smith

  IRN AMS00092

  • [FCA CF] Functions requiring qualifications (18 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (18 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Adam Morgan

  IRN AXM16008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 21 May 2020)
  • [FCA CF] Functions requiring qualifications (since 21 May 2020)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Adam Seale

  IRN AXS02499

  • [FCA CF] Material risk taker (28 Jul 2023 to 15 Jan 2024)
• Adam Van Dok

  IRN AXV01031

  • [FCA CF] Functions requiring qualifications (2 Mar 2020 to 12 Sep 2022)
  • [FCA CF] Client dealing (2 Mar 2020 to 12 Sep 2022)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Adan Dudley

  IRN AXD15964

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 8 Jun 2020)
  • [FCA CF] Functions requiring qualifications (since 8 Jun 2020)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Adrian Astley Sinclair

  IRN AAS01054

  • [FCA CF] Functions requiring qualifications (25 Mar 2023 to 7 Jun 2023)
  • [FCA CF] Manager of certification employee (25 Mar 2023 to 31 Dec 2024)
• Adrian Paul Burt

  IRN APB00039

  • 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 9 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Mar 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Akeel Bata

  IRN AXB00309

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 31 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Jan 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Alan Booth

  IRN AXB02072

  • [FCA CF] Client dealing (27 Oct 2023 to 6 Dec 2024)
  • [FCA CF] Functions requiring qualifications (27 Oct 2023 to 6 Dec 2024)
• Alan Flint

  IRN AXF00161

  • [FCA CF] Manager of certification employee (11 Oct 2020 to 7 Apr 2021)

No changes recorded yet.