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.

• Marie Bowes-Cavanagh

  IRN MXB67674

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Mar 2026)
  • [FCA CF] Client dealing (since 18 Mar 2026)
• Marietta Connery

  IRN MXC00385

  • [FCA CF] Significant management (15 Feb 2021 to 17 Oct 2022)
  • [FCA CF] Manager of certification employee (15 Feb 2021 to 1 Dec 2021)
  • [FCA CF] Material risk taker (15 Feb 2021 to 17 Oct 2022)
• Mark Anthony Lowden

  IRN MAL01200

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 15 May 2020)
  • [FCA CF] Functions requiring qualifications (since 15 May 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Mark Cooke

  IRN MWC01079

  • SMF16 Compliance Oversight (since 1 Mar 2025)
  • [FCA CF] Manager of certification employee (since 3 Sep 2024)
  • [FCA CF] Material risk taker (since 3 Sep 2024)
  • [FCA CF] Significant management (since 3 Sep 2024)
• Mark David Allan Dobbins

  IRN MDD00013

  • [FCA CF] Functions requiring qualifications (7 Jul 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (7 Jul 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Mark Dixey

  IRN MXD01685

  • [FCA CF] Client dealing (17 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Mark Duckworth

  IRN MXD01917

  • SMF1 Chief Executive (since 28 Oct 2020)
  • Responsible for Insurance Distribution (since 28 Oct 2020)
  • SMF3 Executive Director (since 28 Oct 2020)
• Mark Duncan

  IRN MXD15966

  • [FCA CF] Client dealing (since 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 9 Sep 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Mark Frier

  IRN MXF15823

  • [FCA CF] Client dealing (11 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Mark Jefford

  IRN MXJ01090

  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 31 Dec 2024)
  • [FCA CF] Client dealing (17 Feb 2020 to 31 Dec 2024)
  • CF30 Customer (10 Jun 2019 to 8 Dec 2019)

No changes recorded yet.