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.

• Joanne Stanley-Jones

  IRN JXS01538

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 (7 Jun 2019 to 8 Dec 2019)
• Joe Rice

  IRN JXR15956

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 25 May 2020)
  • [FCA CF] Functions requiring qualifications (since 25 May 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Joel Charles Ripley

  IRN JCR01076

  • [FCA CF] Manager of certification employee (29 Oct 2021 to 2 Feb 2026)
  • [FCA CF] Significant management (15 Feb 2021 to 2 Feb 2026)
  • [FCA CF] Material risk taker (15 Feb 2021 to 2 Feb 2026)
  • SMF3 Executive Director (9 Dec 2019 to 2 Feb 2026)
• Joel Philip Runnels-Moss

  IRN JPR01153

  • [FCA CF] Functions requiring qualifications (19 May 2020 to 3 Jan 2023)
  • [FCA CF] Client dealing (19 May 2020 to 3 Jan 2023)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Joel Viney

  IRN JJV01034

  • SMF16 Compliance Oversight (since 4 Mar 2026)
  • [FCA CF] Material risk taker (since 25 Apr 2025)
  • [FCA CF] Manager of certification employee (since 25 Apr 2025)
  • [FCA CF] Significant management (since 25 Apr 2025)
• John Anthony Cheesewright

  IRN JAC00056

  • [FCA CF] Functions requiring qualifications (28 Feb 2020 to 22 Nov 2021)
  • [FCA CF] Client dealing (28 Feb 2020 to 22 Nov 2021)
  • CF30 Customer (10 Jun 2019 to 8 Dec 2019)
• John Benos

  IRN JXB01808

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Feb 2023)
  • [FCA CF] Client dealing (since 3 Feb 2023)
• John Hamilton

  IRN JXH01259

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Dec 2023)
  • [FCA CF] Client dealing (since 21 Dec 2023)
• John Patrick McAulay

  IRN JPM01337

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
  • [FCA CF] Client dealing (since 17 Feb 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• John Piercy

  IRN JXP00295

  • [FCA CF] Manager of certification employee (18 Nov 2020 to 8 Apr 2021)

No changes recorded yet.