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.

• Gary Kyriacos Christofi

  IRN GKC00008

  • [FCA CF] Manager of certification employee (since 29 Oct 2021)
  • [FCA CF] Functions requiring qualifications (15 Mar 2021 to 7 Jun 2023)
  • [FCA CF] Manager of certification employee (15 Mar 2021 to 8 Apr 2021)
  • [FCA CF] Client dealing (15 Mar 2021 to 12 May 2022)
• Gary Paul Walton

  IRN GXW00148

  • [FCA CF] Manager of certification employee (8 Dec 2021 to 17 Nov 2023)
• Gary Stephen Lee

  IRN GSL00017

  • [FCA CF] Functions requiring qualifications (3 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (3 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Gary Vincent Paul Tanner

  IRN GVT00001

  • [FCA CF] Client dealing (22 May 2020 to 19 Feb 2021)
  • [FCA CF] Functions requiring qualifications (22 May 2020 to 19 Feb 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Gavin George Graham Casizzi

  IRN GGC01025

  • 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 3 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2020)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Gemma Sarah Evangelou

  IRN GSC01087

  • [FCA CF] Client dealing (21 May 2020 to 7 Aug 2022)
  • [FCA CF] Functions requiring qualifications (21 May 2020 to 7 Aug 2022)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• George Wood

  IRN GXW00053

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 16 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2021)
• Gerard Courtney

  IRN GXC00318

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 19 Oct 2021)
  • [FCA CF] Client dealing (since 19 Oct 2021)
• Gerard Hugh McCaffrey

  IRN GHM00001

  • [FCA CF] Client dealing (6 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (6 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Gerardo Picillo

  IRN GXP00100

  • 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 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)

No changes recorded yet.