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.

• Maninder Singh Marway

  IRN MXM15882

  • [FCA CF] Client dealing (15 May 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (15 May 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Manisha Patel

  IRN MXP01792

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 23 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 23 Nov 2022)
• Manjinder Singh Gill

  IRN MSG01066

  • 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)
• Mansi Ravindra Desai

  IRN MXD16471

  • [FCA CF] Functions requiring qualifications (2 Nov 2022 to 29 Aug 2024)
  • [FCA CF] Client dealing (2 Nov 2022 to 29 Aug 2024)
• Marc Bell

  IRN MXB08094

  • [FCA CF] Client dealing (4 May 2020 to 1 Jul 2022)
  • [FCA CF] Functions requiring qualifications (4 May 2020 to 1 Jul 2022)
• Marcelo Rodrigues

  IRN MXR18851

  • [FCA CF] Functions requiring qualifications (29 Mar 2023 to 25 Jun 2024)
  • [FCA CF] Client dealing (29 Mar 2023 to 25 Jun 2024)
• Marcus Kenneth Brookes

  IRN MKB01023

  • SMF3 Executive Director (13 Apr 2021 to 28 Feb 2022)
  • [FCA CF] Functions requiring qualifications (16 Jul 2020 to 28 Feb 2022)
  • [FCA CF] Significant management (16 Jul 2020 to 28 Feb 2022)
  • [FCA CF] Material risk taker (16 Jul 2020 to 28 Feb 2022)
  • [FCA CF] Manager of certification employee (16 Jul 2020 to 28 Feb 2022)
  • [FCA CF] Client dealing (16 Jul 2020 to 28 Feb 2022)
• Maria Gaita

  IRN MXG00327

  • [FCA CF] Client dealing (19 Apr 2021 to 3 Jul 2023)
  • [FCA CF] Functions requiring qualifications (19 Apr 2021 to 3 Jul 2023)
• Maria Josefina Elisabeth Britton

  IRN MJA01154

  • [FCA CF] Functions requiring qualifications (10 Feb 2022 to 31 Dec 2023)
  • [FCA CF] Manager of certification employee (6 Jul 2021 to 31 Dec 2023)
• Marianne Clark

  IRN MXC00384

  • [FCA CF] Client dealing (7 Jan 2021 to 1 Jun 2022)

No changes recorded yet.