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.

• Gillian McGuire

  IRN GXL01546

  • [FCA CF] Client dealing (31 May 2022 to 21 Oct 2024)
  • [FCA CF] Functions requiring qualifications (31 May 2022 to 21 Oct 2024)
• Giovanni Giuseppe Maniglia

  IRN GGM00009

  • 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 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Glyn James Maurice Stoker

  IRN GJS00027

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 8 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Feb 2022)
• Gordon Cutty

  IRN GXC00076

  • [FCA CF] Functions requiring qualifications (15 May 2020 to 11 Nov 2025)
  • [FCA CF] Client dealing (15 May 2020 to 11 Nov 2025)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Gourav Katyal

  IRN GXK01411

  • [FCA CF] Functions requiring qualifications (24 Apr 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (24 Apr 2020 to 7 Apr 2021)
  • CF30 Customer (10 Jun 2019 to 8 Dec 2019)
• Graeme Allan Duff

  IRN GAD01075

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 22 May 2020)
  • [FCA CF] Functions requiring qualifications (since 22 May 2020)
  • CF30 Customer (6 Jun 2019 to 8 Dec 2019)
• Graeme Kidd

  IRN GXK01384

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Graeme Newbold

  IRN GXN00038

  • [FCA CF] Client dealing (2 Mar 2020 to 7 Feb 2024)
  • [FCA CF] Functions requiring qualifications (2 Mar 2020 to 7 Feb 2024)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Graham Barry Palmer

  IRN GBP00009

  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 31 Dec 2024)
  • [FCA CF] Client dealing (28 Jan 2020 to 31 Dec 2024)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Graham Bastin

  IRN GXB00074

  • [FCA CF] Manager of certification employee (since 1 Feb 2025)
  • [FCA CF] Material risk taker (since 13 Dec 2022)
  • [FCA CF] Significant management (since 13 Dec 2022)

No changes recorded yet.