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.

• Nicholas Paul Batten

  IRN NXB00057

  • [FCA CF] Functions requiring qualifications (4 Aug 2021 to 17 Jul 2023)
  • [FCA CF] Manager of certification employee (23 Sep 2020 to 17 Jul 2023)
• Nicholas Paul Howells

  IRN NPH01069

  • [FCA CF] Functions requiring qualifications (1 May 2020 to 2 Dec 2021)
  • [FCA CF] Client dealing (1 May 2020 to 2 Dec 2021)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Nicholas Trahaiarn Stefan Evans-Rakowski

  IRN NTR01014

  • [FCA CF] Material risk taker (10 Aug 2020 to 14 May 2021)
  • [FCA CF] Manager of certification employee (10 Aug 2020 to 14 May 2021)
• Nicholas Vicente Willis

  IRN NXW00117

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

  IRN NXH01380

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 20 May 2020)
  • [FCA CF] Functions requiring qualifications (since 20 May 2020)
  • CF30 Customer (12 Jul 2019 to 8 Dec 2019)
• Nigel James Hurst

  IRN NJH00038

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 18 Mar 2020)
  • [FCA CF] Manager of certification employee (18 Jun 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Nigel John Drury

  IRN NJD01134

  • [FCA CF] Material risk taker (13 Feb 2025 to 24 Jun 2025)
• Nigel Patrick Clarke

  IRN NPC01070

  • [FCA CF] Manager of certification employee (21 Apr 2020 to 8 Apr 2023)
• Nurul Pasha

  IRN NXP01483

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 27 Jul 2021)
  • [FCA CF] Manager of certification employee (since 10 Aug 2020)
• Nwamaka Ezinne Ogbonnah

  IRN NEO01009

  • [FCA CF] Client dealing (15 Sep 2022 to 2 Dec 2024)
  • [FCA CF] Functions requiring qualifications (15 Sep 2022 to 2 Dec 2024)

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