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.

• Sarah Louise Ryley

  IRN SLR01054

  • [FCA CF] Functions requiring qualifications (1 Jun 2020 to 1 Apr 2024)
  • [FCA CF] Client dealing (1 Jun 2020 to 1 Apr 2024)
  • CF30 Customer (1 Dec 2019 to 8 Dec 2019)
• Sarah Ruth Coulson

  IRN SXC02346

  • [FCA CF] Functions requiring qualifications (4 Nov 2022 to 1 Jun 2025)
  • [FCA CF] Client dealing (4 Nov 2022 to 1 Jun 2025)
• Sarndip Singh Bagri

  IRN SXB67812

  • [FCA CF] Client dealing (27 Aug 2021 to 28 Dec 2022)
  • [FCA CF] Functions requiring qualifications (27 Aug 2021 to 28 Dec 2022)
• Sarojini Udayachandran

  IRN SXU00029

  • [FCA CF] Functions requiring qualifications (26 Aug 2021 to 26 Aug 2022)
  • [FCA CF] Client dealing (26 Aug 2021 to 26 Aug 2022)
• Scott Clark

  IRN SXC03008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 27 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 27 Aug 2020)
• Scott Daniels

  IRN SXD01630

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
• Sean Ingram

  IRN SXI00039

  • [FCA CF] Material risk taker (22 Feb 2022 to 31 Jan 2025)
  • [FCA CF] Significant management (22 Feb 2022 to 31 Jan 2025)
• Sean Troth

  IRN SXT00037

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
  • [FCA CF] Client dealing (since 24 Apr 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Sebastian Niall Ridout

  IRN SXR23933

  • [FCA CF] Client dealing (27 Feb 2020 to 6 Jul 2023)
  • [FCA CF] Functions requiring qualifications (27 Feb 2020 to 6 Jul 2023)
• Shane Desmond Duggan

  IRN SXD68039

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 19 Mar 2026)
  • [FCA CF] Client dealing (since 19 Mar 2026)

No changes recorded yet.