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.

• Joshua Duhig

  IRN JXD15975

  • [FCA CF] Functions requiring qualifications (14 Feb 2020 to 4 Sep 2023)
  • [FCA CF] Client dealing (14 Feb 2020 to 4 Sep 2023)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Joshua George Gilson

  IRN JXG68523

  • [FCA CF] Client dealing (8 Sep 2022 to 4 Sep 2023)
  • [FCA CF] Functions requiring qualifications (8 Sep 2022 to 4 Sep 2023)
• Joshua James Roberts

  IRN JXR00779

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

  IRN JXM15660

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 27 May 2020)
  • [FCA CF] Functions requiring qualifications (since 27 May 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Joshua Nathan Holmes

  IRN JXH07045

  • [FCA CF] Functions requiring qualifications (9 Mar 2020 to 7 Feb 2021)
  • [FCA CF] Client dealing (9 Mar 2020 to 7 Feb 2021)
• Joshua Underwood

  IRN JXU01114

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Oct 2022)
  • [FCA CF] Client dealing (since 28 Oct 2022)
• Joycelene Naa Adjorkor Attoh

  IRN JXA00488

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
  • [FCA CF] Client dealing (since 17 Jan 2023)
• Judith Armstrong Woods

  IRN JAW01332

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 10 Feb 2020)
  • [FCA CF] Client dealing (since 10 Feb 2020)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Judith Helen Evans

  IRN JHE01024

  • [FCA CF] Functions requiring qualifications (9 Aug 2021 to 1 Jan 2026)
  • [FCA CF] Manager of certification employee (10 Aug 2020 to 1 Jan 2026)
• Julia Jayne Darwin

  IRN JJD00021

  • [FCA CF] Client dealing (30 Jan 2020 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (30 Jan 2020 to 31 Dec 2024)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)

No changes recorded yet.