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.

• Jack Barker

  IRN JXB03877

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Sep 2024)
• Jack Darwin

  IRN JXD00473

  • [FCA CF] Client dealing (26 Aug 2021 to 25 Jul 2022)
  • [FCA CF] Functions requiring qualifications (26 Aug 2021 to 25 Jul 2022)
• Jack James O'Connell

  IRN JXO27568

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 26 Apr 2023)
  • [FCA CF] Client dealing (since 26 Apr 2023)
• Jack Medcalf

  IRN JXM00659

  • [FCA CF] Functions requiring qualifications (24 Mar 2021 to 2 Jul 2021)
  • [FCA CF] Client dealing (24 Mar 2021 to 2 Jul 2021)
• Jacqueline Shotton

  IRN JXH00187

  • [FCA CF] Functions requiring qualifications (7 Apr 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (7 Apr 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Jagdeep Singh Dhanda

  IRN JXD00516

  • [FCA CF] Client dealing (16 Nov 2021 to 25 Aug 2023)
  • [FCA CF] Functions requiring qualifications (16 Nov 2021 to 25 Aug 2023)
• Jagdev Singh Sahota

  IRN JXS01812

  • [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 (4 Jun 2019 to 8 Dec 2019)
• James Albert Keen

  IRN JAK00018

  • [FCA CF] Functions requiring qualifications (15 May 2020 to 8 Nov 2021)
  • [FCA CF] Client dealing (15 May 2020 to 8 Nov 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• James Edward Geekie

  IRN JEG01070

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 24 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• James Gerard Aitken

  IRN JGA00004

  • [FCA CF] Manager of certification employee (10 Aug 2020 to 7 Apr 2021)

No changes recorded yet.