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.

• Martin Kerr Toal

  IRN MKT00002

  • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (11 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Martin Macleod

  IRN MAM01242

  • [FCA CF] Client dealing (29 Sep 2021 to 22 Aug 2022)
  • [FCA CF] Functions requiring qualifications (29 Sep 2021 to 22 Aug 2022)
• Martin Powell

  IRN MXP01419

  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 2 Jul 2021)
  • [FCA CF] Client dealing (17 Feb 2020 to 2 Jul 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Martin Robert Boaler

  IRN BXM01954

  • [FCA CF] Functions requiring qualifications (6 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (6 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Martin Stuart Peters

  IRN MSP00012

  • [FCA CF] Client dealing (16 Mar 2020 to 11 Sep 2025)
  • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 11 Sep 2025)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Martyn Drew

  IRN MXD02708

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 May 2023)
  • [FCA CF] Client dealing (since 2 May 2023)
• Martyn Taylor

  IRN MXT15661

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 20 May 2020)
  • [FCA CF] Client dealing (since 20 May 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Marvin Boakye

  IRN MXB02466

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 28 Jun 2022)
• Matthew Alan Pearson

  IRN MAP00072

  • [FCA CF] Client dealing (30 Jan 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (30 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Matthew Andrew James Speakman

  IRN MAS01290

  • 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 24 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)

No changes recorded yet.