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.

• Jennifer Claire Skehan

  IRN JCS01209

  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 5 Mar 2021)
  • [FCA CF] Client dealing (25 Nov 2020 to 5 Mar 2021)
• Jenny Cartwright

  IRN JXC00278

  • [FCA CF] Client dealing (17 Feb 2020 to 19 Dec 2023)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 19 Dec 2023)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Jeremy Elson

  IRN JXE00060

  • [FCA CF] Client dealing (17 Feb 2020 to 2 Jun 2021)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 2 Jun 2021)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Jeremy John Green

  IRN JJG00017

  • [FCA CF] Client dealing (30 Oct 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (30 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Jessica McGuigan

  IRN JXM08118

  • [FCA CF] Functions requiring qualifications (27 Jan 2022 to 16 May 2022)
  • [FCA CF] Client dealing (27 Jan 2022 to 16 May 2022)
• Jim McGrory

  IRN JXM01132

  • [FCA CF] Client dealing (since 3 Aug 2022)
• Joanna Elizabeth Westwood

  IRN JEK00008

  • [FCA CF] Manager of certification employee (since 15 May 2020)
• Joanna Kate Harris

  IRN JXH22552

  • [FCA CF] Material risk taker (28 Jul 2023 to 26 Sep 2024)
• Joanne Perry-Taylor

  IRN JXP01219

  • [FCA CF] Manager of certification employee (3 Feb 2020 to 8 Apr 2023)
• Joanne Rebecca Laffey

  IRN JXI00004

  • 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)

No changes recorded yet.