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.

• Graham Fishwick

  IRN GXF01227

  • [FCA CF] Functions requiring qualifications (24 Jun 2020 to 13 May 2022)
  • [FCA CF] Client dealing (24 Jun 2020 to 13 May 2022)
• Graham Kellen

  IRN GXK00074

  • [FCA CF] Significant management (15 Feb 2021 to 31 Dec 2021)
  • [FCA CF] Material risk taker (15 Feb 2021 to 31 Dec 2021)
• Grant Keith Dymond

  IRN GKD01006

  • 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 (3 Jun 2019 to 8 Dec 2019)
• Gregory Beavers

  IRN GXB15959

  • [FCA CF] Functions requiring qualifications (6 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (6 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Gregory Macdonald

  IRN GXM22712

  • [FCA CF] Client dealing (2 Jun 2020 to 8 Apr 2021)
  • [FCA CF] Functions requiring qualifications (2 Jun 2020 to 8 Apr 2021)
  • CF30 Customer (4 Nov 2019 to 8 Dec 2019)
• Gurdip Singh Bansal

  IRN GSB01096

  • [FCA CF] Client dealing (26 Mar 2021 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (26 Mar 2021 to 31 Dec 2024)
• Hannah Walker

  IRN HMK00006

  • [FCA CF] Client dealing (1 Apr 2021 to 26 Nov 2021)
  • [FCA CF] Functions requiring qualifications (1 Apr 2021 to 26 Nov 2021)
• Harish Tank

  IRN HXT00070

  • [FCA CF] Functions requiring qualifications (26 Mar 2021 to 23 Dec 2021)
  • [FCA CF] Client dealing (26 Mar 2021 to 23 Dec 2021)
• Harkaran Singh

  IRN HXS19136

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Sep 2020)
  • [FCA CF] Client dealing (since 9 Sep 2020)
• Harrison Peter Bingham

  IRN HPB01028

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Jan 2020)
  • [FCA CF] Client dealing (since 28 Jan 2020)
  • CF30 Customer (1 Dec 2019 to 8 Dec 2019)

No changes recorded yet.