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.

• Paul Leslie Stratton

  IRN PLS00022

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 3 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Paul Robert Isaac Edwards

  IRN PXE00081

  • [FCA CF] Functions requiring qualifications (17 Nov 2021 to 24 Apr 2023)
  • [FCA CF] Client dealing (17 Nov 2021 to 24 Apr 2023)
• Paul Russell White

  IRN PRW00013

  • [FCA CF] Manager of certification employee (11 Oct 2021 to 20 Jan 2025)
• Paul William Cass

  IRN PWC00013

  • [FCA CF] Manager of certification employee (25 Nov 2020 to 31 Dec 2024)
• Pauline Grace Robertson

  IRN PGR01034

  • [FCA CF] Client dealing (10 Feb 2020 to 7 Jun 2021)
  • [FCA CF] Functions requiring qualifications (10 Feb 2020 to 7 Jun 2021)
• Pauline Roberta Hall

  IRN PRM01139

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Jan 2022)
  • [FCA CF] Client dealing (since 18 Jan 2022)
• Peter Brian Colechin

  IRN PXC00237

  • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 31 Dec 2020)
  • [FCA CF] Client dealing (11 Mar 2020 to 31 Dec 2020)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Peter David Laycock

  IRN CRC00020

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 28 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 28 Jun 2022)
• Peter Geoffrey Hetherington

  IRN PGH01047

  • SMF1 Chief Executive (9 Dec 2019 to 19 Jun 2020)
  • SMF3 Executive Director (9 Dec 2019 to 19 Jun 2020)
  • Responsible for Insurance Distribution (14 Oct 2019 to 19 Jun 2020)
  • CF3 Chief Executive (14 Oct 2019 to 8 Dec 2019)
  • CF1 Director (14 Oct 2019 to 8 Dec 2019)
• Peter Harrison

  IRN PXH01235

  • [FCA CF] Material risk taker (28 Jul 2023 to 8 Nov 2024)

No changes recorded yet.