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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Samantha Lee Evans

  IRN SLE00009

  • [FCA CF] Functions requiring qualifications (19 May 2020 to 7 Feb 2022)
  • [FCA CF] Client dealing (19 May 2020 to 7 Feb 2022)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Samantha Thorpe

  IRN SXT00072

  • CF30 Customer (6 Jun 2019 to 4 Sep 2019)
• Samuel Fares

  IRN SXF00573

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 28 Nov 2025)
• Samuel Philip Fairhall

  IRN SPF01080

  • [FCA CF] Client dealing (since 6 Sep 2021)
• Samuel Ronald Tree

  IRN SRT01092

  • [FCA CF] Client dealing (28 Jan 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Samuel Way

  IRN SXW00381

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 26 Mar 2021)
  • [FCA CF] Client dealing (since 26 Mar 2021)
• Sandra Jessica Olayinka Abayomi

  IRN SJA01167

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 26 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 26 Apr 2022)
• Sara-Lee Littlewood

  IRN SXL00313

  • [FCA CF] Manager of certification employee (since 12 Jan 2026)
  • [FCA CF] Functions requiring qualifications (30 Apr 2021 to 31 Dec 2021)
  • [FCA CF] Client dealing (30 Apr 2021 to 31 Dec 2021)
• Sarah Bass

  IRN SXB01295

  • [FCA CF] Manager of certification employee (3 Feb 2021 to 5 Dec 2022)
• Sarah Deaves

  IRN SJD01183

  • [FCA CF] Significant management (15 Feb 2021 to 2 Jul 2021)
  • [FCA CF] Material risk taker (15 Feb 2021 to 2 Jul 2021)
  • [FCA CF] Manager of certification employee (15 Feb 2021 to 2 Jul 2021)

No changes recorded yet.