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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Julian Albert Walker-Hazell

  IRN JAW01249

  • [FCA CF] Manager of certification employee (since 2 Dec 2024)
  • [FCA CF] Material risk taker (since 2 Dec 2024)
  • [FCA CF] Significant management (since 2 Dec 2024)
• Julian Barcena Fernandez

  IRN JXB03628

  • [FCA CF] Client dealing (23 Nov 2021 to 9 Sep 2024)
  • [FCA CF] Functions requiring qualifications (23 Nov 2021 to 9 Sep 2024)
• Julie Dawn Lowe

  IRN JDR01076

  • [FCA CF] Functions requiring qualifications (27 Oct 2020 to 2 Aug 2021)
  • [FCA CF] Client dealing (27 Oct 2020 to 2 Aug 2021)
• Julie Ellen Reddin

  IRN JEH00043

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 8 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 8 Oct 2020)
• Julie Richmond

  IRN JCR01130

  • [FCA CF] Manager of certification employee (30 Nov 2021 to 29 Aug 2024)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 29 Aug 2024)
  • [FCA CF] Client dealing (17 Feb 2020 to 22 Dec 2021)
  • CF30 Customer (4 Jul 2019 to 8 Dec 2019)
• Junaid Anis Jamall

  IRN JAJ01060

  • [FCA CF] Client dealing (10 Sep 2021 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (10 Sep 2021 to 31 Dec 2024)
• Justin Blower

  IRN JXB00610

  • [FCA CF] Manager of certification employee (3 Nov 2023 to 21 Jul 2025)
• Justin Mark Jarrett

  IRN JMJ01071

  • [FCA CF] Significant management (24 Apr 2020 to 31 Mar 2024)
  • [FCA CF] Material risk taker (24 Apr 2020 to 31 Mar 2024)
• Karan Sejpal

  IRN KXS01530

  • [FCA CF] Material risk taker (15 Aug 2023 to 9 Oct 2025)
• Karen Ingoe-Stratton

  IRN KXI00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Mar 2020)
  • [FCA CF] Client dealing (since 16 Mar 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)

No changes recorded yet.