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.

• Mitesh Solanki

  IRN MXS00298

  • [FCA CF] Client dealing (15 Feb 2021 to 7 Jan 2022)
  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 7 Jan 2022)
• Mohammed Sayed

  IRN MXS15963

  • [FCA CF] Functions requiring qualifications (24 Apr 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (24 Apr 2020 to 7 Apr 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Monica Theresa Harrison-Fish

  IRN MTW01040

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 23 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 23 Jan 2022)
• NIRAL NIRANJAN SHUKLA

  IRN NNS01020

  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Functions requiring qualifications (since 15 Apr 2024)
  • [FCA CF] Client dealing (since 15 Apr 2024)
• Narendra Katoch

  IRN NXK01203

  • [FCA CF] Client dealing (15 May 2020 to 7 Mar 2021)
  • [FCA CF] Functions requiring qualifications (15 May 2020 to 7 Mar 2021)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Nasima Brooks

  IRN NXT01149

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 2 Sep 2022)
  • [FCA CF] Client dealing (since 2 Sep 2022)
• Natasha Lian Tweedy

  IRN NLT33614

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 29 Jul 2022)
  • [FCA CF] Client dealing (since 29 Jul 2022)
• Natasha Nair

  IRN NXS01554

  • [FCA CF] Client dealing (17 Nov 2021 to 6 Sep 2023)
  • [FCA CF] Functions requiring qualifications (17 Nov 2021 to 6 Sep 2023)
• Nathan Pitt-Stevens

  IRN NXS01583

  • [FCA CF] Client dealing (9 Mar 2020 to 7 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Mar 2020 to 7 May 2021)
  • CF30 Customer (1 Sep 2019 to 8 Dec 2019)
• Neeraj Nijhawan

  IRN NXN00012

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 10 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 10 Feb 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)

No changes recorded yet.