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.

• Andrew Hassall

  IRN AXH00344

  • [FCA CF] Manager of certification employee (since 21 Apr 2020)
• Andrew James Cossens

  IRN AJC00087

  • CF30 Customer (7 Jun 2019 to 2 Aug 2019)
• Andrew James Gower Nicholl

  IRN AJN00034

  • [FCA CF] Functions requiring qualifications (25 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (25 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Andrew James Willis

  IRN AJW00061

  • [FCA CF] Manager of certification employee (9 Sep 2020 to 8 Jun 2023)
• Andrew Joseph Horner

  IRN AXH83552

  • [FCA CF] Client dealing (18 Jun 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (18 Jun 2020 to 7 Apr 2021)
• Andrew Mark Charles Deakin

  IRN AXD00711

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 13 Feb 2023)
  • [FCA CF] Client dealing (since 13 Feb 2023)
• Andrew Mark Hunt

  IRN AMH00018

  • 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 (3 Jun 2019 to 8 Dec 2019)
• Andrew McDonagh

  IRN AXM00210

  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Andrew Peter Gaynor

  IRN APG01096

  • [FCA CF] Manager of certification employee (since 4 Nov 2021)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 7 Jun 2023)
  • [FCA CF] Client dealing (24 Feb 2020 to 10 Jan 2022)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Andrew Peter Marshall

  IRN APM01140

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 20 Apr 2020)
  • [FCA CF] Client dealing (since 20 Apr 2020)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)

No changes recorded yet.