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.

• James Hall

  IRN JXH00755

  • 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)
• James Hankin Benford

  IRN JHB01095

  • [FCA CF] Functions requiring qualifications (24 May 2021 to 9 May 2025)
  • [FCA CF] Client dealing (24 May 2021 to 9 May 2025)
• James Harris

  IRN JPH01273

  • [FCA CF] Manager of certification employee (since 19 Dec 2024)
• James Martin Kirby

  IRN JMK00018

  • 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 28 Feb 2020)
  • [FCA CF] Client dealing (since 28 Feb 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• James Michael Hughes

  IRN JMH01272

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Dec 2020)
• James Rainbow

  IRN JXR02352

  • CF3 Chief Executive (10 Jan 2019 to 17 Oct 2019)
  • Responsible for Insurance Distribution (10 Jan 2019 to 17 Oct 2019)
  • CF1 Director (10 Jan 2019 to 29 Nov 2019)
• James Shiner

  IRN JXS15711

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
  • [FCA CF] Client dealing (since 24 Apr 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• James Thompson

  IRN JIT00012

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 29 Jun 2021)
  • [FCA CF] Client dealing (since 29 Jun 2021)
• James Tout

  IRN JXT00523

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2022)
• James White

  IRN JXW00422

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 27 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 27 Jul 2022)

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