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.

• Ian Andrew Nayler

  IRN IAN01017

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 21 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 21 Jun 2022)
• Ian Christopher Shrimplin

  IRN ICS01053

  • [FCA CF] Functions requiring qualifications (21 May 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (21 May 2020 to 7 Apr 2021)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Ian Edward Jones

  IRN IEJ01003

  • 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] Functions requiring qualifications (since 27 May 2020)
  • [FCA CF] Client dealing (since 27 May 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Ian Eveleigh

  IRN IXE01067

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 31 Jul 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Jul 2020)
• Ian Gerhard Roderick

  IRN IGR00002

  • [FCA CF] Functions requiring qualifications (28 Oct 2022 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (28 Oct 2022 to 31 Mar 2024)
• Ian Glymond

  IRN IDG00011

  • [FCA CF] Client dealing (24 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Ian Michael Gibbs

  IRN IMG01042

  • [FCA CF] Manager of certification employee (3 Feb 2021 to 12 Oct 2021)
• Ian Rippengal

  IRN IXR00017

  • [FCA CF] Client dealing (24 Feb 2020 to 31 Dec 2020)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 31 Dec 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Ian William Bass

  IRN IWB00005

  • [FCA CF] Functions requiring qualifications (4 Aug 2021 to 22 Sep 2025)
  • [FCA CF] Manager of certification employee (18 Aug 2020 to 22 Sep 2025)
• Isabelle Williams

  IRN IXW00137

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 30 Oct 2023)
  • [FCA CF] Client dealing (since 30 Oct 2023)

No changes recorded yet.