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.

• Sharon Hillier

  IRN SXC01888

  • [FCA CF] Client dealing (7 Apr 2020 to 14 Mar 2021)
  • [FCA CF] Functions requiring qualifications (7 Apr 2020 to 14 Mar 2021)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Shaun Anthony Haffenden

  IRN SAH00032

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Shelley McMillan

  IRN SXM68043

  • [FCA CF] Functions requiring qualifications (16 Nov 2021 to 7 Aug 2022)
  • [FCA CF] Client dealing (16 Nov 2021 to 7 Aug 2022)
• Shireen Khaliq

  IRN SXK09895

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 12 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 12 Apr 2023)
• Shuhal Hamid

  IRN SXH02286

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Dec 2020)
  • [FCA CF] Client dealing (since 17 Dec 2020)
  • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
• Simon David Duffield-Harding

  IRN SDD00009

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Mar 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Simon David Massey

  IRN SDM01131

  • [FCA CF] Manager of certification employee (24 May 2021 to 31 Jan 2022)
  • [FCA CF] Significant management (24 May 2021 to 31 Jan 2022)
  • [FCA CF] Material risk taker (24 May 2021 to 31 Jan 2022)
• Simon Douglas Ross

  IRN SDR00014

  • 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] Functions requiring qualifications (since 24 Apr 2020)
  • [FCA CF] Client dealing (since 24 Apr 2020)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Simon James Atherton

  IRN SJA01141

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2020)
  • [FCA CF] Manager of certification employee (8 Oct 2020 to 25 Jan 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Simon Jeremy Howard-Cook

  IRN SJH01307

  • [FCA CF] Client dealing (9 Jun 2020 to 5 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Jun 2020 to 5 Jun 2023)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)

No changes recorded yet.