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.

• Alexandra Bianca Cast

  IRN ABC01066

  • 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 30 Mar 2020)
  • [FCA CF] Client dealing (since 30 Mar 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Alexandra Winn

  IRN AXW00342

  • [FCA CF] Client dealing (24 Mar 2021 to 11 Mar 2024)
  • [FCA CF] Functions requiring qualifications (24 Mar 2021 to 27 Jul 2022)
• Alfonso Sanz Lucia

  IRN AXS83564

  • [FCA CF] Functions requiring qualifications (14 Sep 2020 to 2 May 2023)
  • [FCA CF] Client dealing (14 Sep 2020 to 2 May 2023)
• Alice Esme Harmer

  IRN AES01099

  • 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)
• Alison Jean Moir Cowcher

  IRN AJC00019

  • [FCA CF] Client dealing (30 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (30 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Allan Christopher Gordon Galt

  IRN ACG01034

  • [FCA CF] Client dealing (since 15 Sep 2022)
• Allister Raby

  IRN AXR00103

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Allyson Williams

  IRN AXR00161

  • [FCA CF] Client dealing (9 Sep 2020 to 14 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Sep 2020 to 14 Jun 2021)
• Amanda Butterfield

  IRN AXB03822

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 13 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 13 Mar 2026)
  • [FCA CF] Functions requiring qualifications (19 Mar 2020 to 10 Sep 2023)
  • [FCA CF] Client dealing (19 Mar 2020 to 10 Sep 2023)
• Amardeep Sandhu

  IRN AXS00514

  • [FCA CF] Client dealing (10 Aug 2020 to 10 Feb 2026)
  • [FCA CF] Functions requiring qualifications (10 Aug 2020 to 10 Feb 2026)

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