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.

• Amit Bisaria

  IRN AXB00534

  • [FCA CF] Client dealing (15 Sep 2022 to 31 Dec 2023)
  • [FCA CF] Material risk taker (8 Jul 2020 to 31 Dec 2023)
  • [FCA CF] Manager of certification employee (8 Jul 2020 to 31 Dec 2023)
• Amratpal Singh Sandhu

  IRN ASS01063

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 29 Sep 2021)
  • [FCA CF] Client dealing (since 12 Nov 2020)
• Amsher Ayub Jan Mohamed

  IRN AAM01197

  • [FCA CF] Client dealing (28 Sep 2022 to 4 Jan 2026)
• Amy Bolton

  IRN AXB04502

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 16 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2025)
• Andrew Barton

  IRN AXB03323

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Jun 2020)
  • [FCA CF] Client dealing (since 2 Jun 2020)
  • CF30 Customer (28 Nov 2019 to 8 Dec 2019)
• Andrew Daniel Hollyfield

  IRN ADH01133

  • [FCA CF] Functions requiring qualifications (21 May 2020 to 1 Oct 2020)
  • [FCA CF] Client dealing (21 May 2020 to 1 Oct 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Andrew Darryl Godding

  IRN ADG01047

  • [FCA CF] Client dealing (3 Mar 2020 to 14 Aug 2022)
  • [FCA CF] Functions requiring qualifications (3 Mar 2020 to 14 Aug 2022)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Andrew Davies

  IRN AXD00096

  • 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] Client dealing (since 30 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Mar 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Andrew Edward Cockbill

  IRN AXC09833

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
  • [FCA CF] Client dealing (since 3 Jan 2023)
• Andrew Gabriel

  IRN AXG15669

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 22 May 2020)
  • [FCA CF] Client dealing (since 22 May 2020)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)

No changes recorded yet.