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.

• Neil Andrew Downton

  IRN NAD00013

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 2 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 28 Jan 2020)
  • [FCA CF] Manager of certification employee (22 Jun 2020 to 25 Jan 2021)
  • [FCA CF] Client dealing (28 Jan 2020 to 14 Apr 2022)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Neil Burgess

  IRN NXB00104

  • [FCA CF] Manager of certification employee (18 May 2020 to 27 Jul 2020)
• Neil Charles Scott

  IRN NCS00011

  • [FCA CF] Manager of certification employee (10 Jan 2020 to 7 Sep 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Neil James Whiteside

  IRN NXW11284

  • [FCA CF] Functions requiring qualifications (31 May 2022 to 29 Sep 2025)
  • [FCA CF] Client dealing (31 May 2022 to 29 Sep 2025)
• Neil Porter

  IRN NXP00098

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 22 Jun 2023)
  • [FCA CF] Manager of certification employee (since 25 Jan 2021)
• Neil Stirton

  IRN NAS01156

  • [FCA CF] Client dealing (10 Feb 2020 to 2 Sep 2021)
  • [FCA CF] Functions requiring qualifications (10 Feb 2020 to 2 Sep 2021)
  • CF30 Customer (10 Jun 2019 to 8 Dec 2019)
• Niall Alistair Duffy

  IRN NAD00005

  • [FCA CF] Client dealing (22 Jan 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (22 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Nicholas Alexander Illingworth

  IRN NAI00014

  • [FCA CF] Functions requiring qualifications (10 Jun 2020 to 1 Oct 2020)
  • [FCA CF] Client dealing (10 Jun 2020 to 1 Oct 2020)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Nicholas Hamilton Allen

  IRN NXA12221

  • [FCA CF] Significant management (15 Feb 2021 to 31 Jan 2025)
  • [FCA CF] Material risk taker (15 Feb 2021 to 31 Jan 2025)
• Nicholas John Rogers

  IRN NXR00266

  • [FCA CF] Client dealing (30 Jun 2023 to 25 Sep 2025)
  • [FCA CF] Functions requiring qualifications (30 Jun 2023 to 25 Sep 2025)

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