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.

• Dena Brumpton

  IRN DJB01676

  • [FCA CF] Material risk taker (since 15 Aug 2023)
  • SMF9 Chair of the Governing Body (since 18 Nov 2022)
• Denis Patrick Connolly

  IRN DPC01067

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2020)
  • [FCA CF] Client dealing (since 3 Mar 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Denise Francis Sadie Currie

  IRN DFA01023

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 11 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 11 Jul 2023)
• Derek Andrew Gammie

  IRN DAG00026

  • [FCA CF] Manager of certification employee (15 May 2020 to 30 Sep 2020)
• Derek John Smith

  IRN DJS00119

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
  • [FCA CF] Manager of certification employee (since 17 Jan 2023)
• Derek Patrick Kane

  IRN DPK00009

  • [FCA CF] Functions requiring qualifications (7 May 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (7 May 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Devia Sond

  IRN DXS01026

  • [FCA CF] Functions requiring qualifications (25 Jul 2024 to 30 Apr 2025)
  • [FCA CF] Client dealing (25 Jul 2024 to 30 Apr 2025)
• Dheeraj Malik

  IRN DXM02840

  • [FCA CF] Client dealing (20 May 2020 to 7 Mar 2021)
  • [FCA CF] Functions requiring qualifications (20 May 2020 to 7 Mar 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Dobir Miah

  IRN DXM02130

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 May 2020)
  • [FCA CF] Client dealing (since 15 May 2020)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
• Dominic Charles Hamilton

  IRN DXH00312

  • [FCA CF] Functions requiring qualifications (14 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (14 Feb 2020 to 7 Apr 2021)

No changes recorded yet.