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.

• Rachel Catherine Nicholson

  IRN RXN00118

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 13 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 13 Mar 2026)
• Rachel Elizabeth Booth

  IRN REB01101

  • [FCA CF] Manager of certification employee (10 Aug 2020 to 14 Jun 2021)
• Rachel Lewis

  IRN RXT00074

  • [FCA CF] Functions requiring qualifications (31 Mar 2020 to 23 Aug 2021)
  • [FCA CF] Client dealing (31 Mar 2020 to 23 Aug 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Rachel Louise Britton

  IRN RXB00551

  • [FCA CF] Client dealing (16 Nov 2021 to 23 May 2022)
  • [FCA CF] Functions requiring qualifications (16 Nov 2021 to 23 May 2022)
• Rachel Louise Childs

  IRN RXC00697

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 30 Oct 2023)
• Ragasree Sarala

  IRN RXS02086

  • [FCA CF] Client dealing (9 Jul 2020 to 7 Feb 2021)
  • [FCA CF] Functions requiring qualifications (9 Jul 2020 to 7 Feb 2021)
• Ranald Grant Hall

  IRN RXH15965

  • [FCA CF] Client dealing (24 Feb 2020 to 27 Jun 2022)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 27 Jun 2022)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Ranjeev Ranu

  IRN RXR01545

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 23 Nov 2022)
  • [FCA CF] Client dealing (since 23 Nov 2022)
• Raymond John Hildreth Milne

  IRN RJM01148

  • SMF17 Money Laundering Reporting Officer (MLRO) (25 Jun 2021 to 5 Jul 2024)
  • SMF16 Compliance Oversight (25 Jun 2021 to 5 Jul 2024)
  • [FCA CF] Manager of certification employee (24 May 2021 to 5 Jul 2024)
  • [FCA CF] Material risk taker (24 May 2021 to 5 Jul 2024)
  • [FCA CF] Significant management (24 May 2021 to 5 Jul 2024)
• Rezart Elmazaj

  IRN RXE01204

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 May 2020)
  • [FCA CF] Functions requiring qualifications (since 6 May 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)

No changes recorded yet.