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.

• Jamie Tough

  IRN JWT01078

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Nov 2022)
  • [FCA CF] Client dealing (since 21 Nov 2022)
• Jamie Wright

  IRN JXW01173

  • [FCA CF] Client dealing (since 3 Dec 2024)
• Jared Karim

  IRN JXK01252

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 11 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2020)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Jason Antony Nolan

  IRN JXN00041

  • [FCA CF] Functions requiring qualifications (9 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (9 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Jason Dykes

  IRN JXD00077

  • [FCA CF] Client dealing (28 Jan 2020 to 9 Apr 2024)
  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 9 Apr 2024)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Jason Greer

  IRN JAG01291

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Jan 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Jatinder Singh Nijjar

  IRN JSN01037

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 11 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 11 Jul 2023)
• Jeffery Mark Piper

  IRN JMP00030

  • [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 (13 Jun 2019 to 8 Dec 2019)
• Jenna Burn

  IRN JXB03950

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 16 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2025)
• Jenna Nolan

  IRN JXN00093

  • [FCA CF] Material risk taker (2 Feb 2021 to 1 Jul 2024)

No changes recorded yet.