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 Robert Kelly

  IRN DRK01049

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 26 Jul 2021)
  • [FCA CF] Manager of certification employee (since 14 Jan 2021)
• David Roberts

  IRN DXR00190

  • [FCA CF] Manager of certification employee (23 Nov 2020 to 7 Apr 2021)
• David Valentine

  IRN DXV01057

  • [FCA CF] Manager of certification employee (7 Jun 2021 to 5 Jul 2021)
  • [FCA CF] Functions requiring qualifications (21 Jan 2021 to 7 Jun 2021)
  • [FCA CF] Client dealing (21 Jan 2021 to 7 Jun 2021)
• David Wightman

  IRN DXW00140

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Mar 2020)
  • [FCA CF] Client dealing (since 18 Mar 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• David William McCallig

  IRN DWM01126

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 19 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 19 Jan 2023)
• David-James Dawkins

  IRN DXD00165

  • [FCA CF] Client dealing (26 Mar 2021 to 26 Sep 2025)
  • [FCA CF] Functions requiring qualifications (26 Mar 2021 to 26 Sep 2025)
• Dean Francis Henderson

  IRN DFH00009

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Dean Keith Scott

  IRN DKS01047

  • CF30 Customer (5 Jun 2019 to 27 Nov 2019)
• Deborah Chapman

  IRN DXL01708

  • 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 3 Jun 2020)
  • [FCA CF] Client dealing (since 3 Jun 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Debra Jayne Melbourne

  IRN DJM01502

  • [FCA CF] Manager of certification employee (since 11 Jul 2022)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 1 Apr 2026)
  • [FCA CF] Client dealing (24 Feb 2020 to 11 Jul 2022)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)

No changes recorded yet.