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.

• Simon Johnstone

  IRN SXJ12516

  • [FCA CF] Client dealing (14 Oct 2022 to 20 May 2025)
  • [FCA CF] Functions requiring qualifications (14 Oct 2022 to 20 May 2025)
• Simon Joseph Bowden

  IRN SJB01596

  • [FCA CF] Client dealing (24 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (6 Jun 2019 to 8 Dec 2019)
• Simon Lea Hillyar

  IRN SLH00007

  • [FCA CF] Client dealing (28 Feb 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (28 Feb 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Simon Mark Tremlett

  IRN SMT00018

  • [FCA CF] Client dealing (20 Apr 2020 to 1 Jun 2020)
  • [FCA CF] Functions requiring qualifications (20 Apr 2020 to 1 Jun 2020)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Simon Pomerville

  IRN SJP01385

  • 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 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 May 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Simon Timothy Robert Davolls

  IRN SXD00490

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Feb 2022)
  • [FCA CF] Client dealing (since 21 Feb 2022)
• Simon-Luc Farrow

  IRN SXF00255

  • [FCA CF] Client dealing (26 Aug 2021 to 10 Nov 2025)
  • [FCA CF] Functions requiring qualifications (26 Aug 2021 to 10 Nov 2025)
• Sion Rhys Wells

  IRN SXW00696

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2022)
  • [FCA CF] Client dealing (since 1 Nov 2022)
• Sophie Haslehurst

  IRN SEH01119

  • [FCA CF] Client dealing (31 Aug 2021 to 30 Aug 2022)
  • [FCA CF] Functions requiring qualifications (31 Aug 2021 to 30 Aug 2022)
• Sophie Janine Martin

  IRN SXM00608

  • [FCA CF] Functions requiring qualifications (24 Mar 2021 to 26 Sep 2022)
  • [FCA CF] Client dealing (24 Mar 2021 to 26 Sep 2022)

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