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.

• Peter Ioannou

  IRN PXI01034

  • [FCA CF] Client dealing (22 May 2020 to 1 Oct 2020)
  • [FCA CF] Functions requiring qualifications (22 May 2020 to 1 Oct 2020)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Peter James Tindley

  IRN PJT01159

  • [FCA CF] Manager of certification employee (9 Sep 2020 to 2 Jul 2021)
• Peter John Howley

  IRN PJH00075

  • [FCA CF] Client dealing (28 Feb 2020 to 3 Apr 2023)
  • [FCA CF] Functions requiring qualifications (28 Feb 2020 to 3 Apr 2023)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Philip Clayton

  IRN PXC00137

  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 30 Oct 2020)
  • [FCA CF] Client dealing (24 Feb 2020 to 30 Oct 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Philip John Barrigan

  IRN PJB01413

  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Philip Raymond Smith

  IRN PRS00044

  • [FCA CF] Functions requiring qualifications (1 May 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (1 May 2020 to 7 Apr 2021)
  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Philip Riley

  IRN PXR00078

  • [FCA CF] Client dealing (9 Mar 2020 to 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Mar 2020 to 1 Apr 2025)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Philippa Willson

  IRN PXW00261

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 26 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Aug 2021)
• Phillip James Dunn

  IRN PJD00032

  • [FCA CF] Manager of certification employee (22 Oct 2021 to 31 Dec 2024)
  • [FCA CF] Client dealing (19 Jan 2021 to 24 Oct 2021)
  • [FCA CF] Functions requiring qualifications (19 Jan 2021 to 7 Jun 2023)
• Pubhinder Singh

  IRN PXS12051

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 27 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 8 Jul 2020)
  • [FCA CF] Client dealing (8 Jul 2020 to 27 Jan 2026)

No changes recorded yet.