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.

• Kathleen Louise Goldson

  IRN KLG00001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
  • [FCA CF] Client dealing (since 6 Nov 2020)
• Katie Ann Young

  IRN KXY00022

  • [FCA CF] Manager of certification employee (since 13 Aug 2025)
• Katie Louise Nutting

  IRN KLN00017

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Nov 2020)
  • [FCA CF] Client dealing (since 25 Nov 2020)
• Katie Marie Dicken

  IRN KMD01047

  • [FCA CF] Client dealing (22 May 2020 to 17 Sep 2021)
  • [FCA CF] Functions requiring qualifications (22 May 2020 to 17 Sep 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Keith Eric Wakeham

  IRN KEW00010

  • [FCA CF] Client dealing (28 Jan 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Keith Lawrence Peckover

  IRN KLP00004

  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (28 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Kelly Davenport

  IRN KXD00148

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Mar 2021)
  • [FCA CF] Client dealing (since 24 Mar 2021)
• Kerry Ellis

  IRN KXL01226

  • [FCA CF] Functions requiring qualifications (10 Jun 2020 to 7 Aug 2022)
  • [FCA CF] Client dealing (10 Jun 2020 to 7 Aug 2022)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
• Kevin Barr

  IRN KJB01174

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 26 Feb 2021)
  • [FCA CF] Client dealing (1 Dec 2020 to 26 Feb 2021)
• Kevin Brian Senior

  IRN KXS01624

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 17 Nov 2021)

No changes recorded yet.