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.

• David George Barnes

  IRN DGB00051

  • [FCA CF] Manager of certification employee (9 Sep 2020 to 2 Jul 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• David Graham Chester James

  IRN DXJ07568

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 4 Sep 2023)
  • [FCA CF] Functions requiring qualifications (since 4 Sep 2023)
  • [FCA CF] Client dealing (3 Jul 2020 to 15 Jul 2022)
  • [FCA CF] Functions requiring qualifications (3 Jul 2020 to 15 Jul 2022)
• David James Bowers

  IRN DJB01465

  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• David John Briggs

  IRN DJB00090

  • [FCA CF] Manager of certification employee (18 Nov 2020 to 7 Apr 2021)
• David John Winterbottom

  IRN DJW00162

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Jan 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• David Jonathan Perry

  IRN DJP00059

  • 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 (4 Jun 2019 to 8 Dec 2019)
• David Martin Rodway

  IRN DMR00017

  • 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 22 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 22 Jan 2020)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• David Nguyen

  IRN DXN01212

  • CF30 Customer (12 Jun 2019 to 1 Sep 2019)
• David Peter Easom

  IRN DPE00004

  • [FCA CF] Functions requiring qualifications (7 Apr 2020 to 15 Apr 2021)
  • [FCA CF] Client dealing (7 Apr 2020 to 15 Apr 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• David Radwell

  IRN DXR00145

  • 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 2 Mar 2020)
  • [FCA CF] Client dealing (since 2 Mar 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)

No changes recorded yet.