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.

• Rupert Heathcote

  IRN RXH15658

  • [FCA CF] Material risk taker (1 Mar 2021 to 31 Dec 2023)
  • [FCA CF] Client dealing (1 Mar 2021 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Mar 2021 to 31 Dec 2023)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Ruth Giles

  IRN RXG00621

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Nov 2025)
  • [FCA CF] Client dealing (since 28 Nov 2025)
• Ruth Mary Nikou-Jones

  IRN RMN01039

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

  IRN SXS02165

  • [FCA CF] Functions requiring qualifications (6 Jun 2022 to 25 Jul 2023)
  • [FCA CF] Client dealing (6 Jun 2022 to 25 Jul 2023)
• Sally Kate Savage

  IRN SKJ01011

  • [FCA CF] Client dealing (11 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Sally Mary Price

  IRN SMC00031

  • [FCA CF] Client dealing (11 Mar 2020 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (11 Mar 2020 to 31 Dec 2024)
  • CF30 Customer (6 Jun 2019 to 8 Dec 2019)
• Sally Osmond

  IRN SXO01299

  • [FCA CF] Functions requiring qualifications (30 Jun 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (30 Jun 2020 to 7 Apr 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Sally-Lynn Jegat

  IRN SXJ00143

  • [FCA CF] Manager of certification employee (15 May 2020 to 1 Oct 2020)
• Sam Richards

  IRN SXR00527

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 27 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 27 Apr 2022)
• Samantha Jane Rees

  IRN SJD01187

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 24 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 24 Feb 2022)

No changes recorded yet.