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.

• Sophie Worthington

  IRN SXW00547

  • [FCA CF] Manager of certification employee (25 Jan 2022 to 13 Jan 2025)
• Stephanie Ebner

  IRN SXE15884

  • [FCA CF] Client dealing (17 Feb 2020 to 29 Oct 2021)
  • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 29 Oct 2021)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Stephen Anthony Keating

  IRN SAK00019

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 7 Apr 2020)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Stephen Antony Bickenson

  IRN SAB00057

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 13 Mar 2020)
  • [FCA CF] Client dealing (since 13 Mar 2020)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Stephen Geoffrey Lamb

  IRN SGL01013

  • [FCA CF] Client dealing (3 Mar 2020 to 1 Oct 2021)
  • [FCA CF] Functions requiring qualifications (3 Mar 2020 to 1 Oct 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Stephen Greenwood

  IRN SXG00036

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 27 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 27 Apr 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Stephen Hughes

  IRN SXH01817

  • [FCA CF] Client dealing (10 Feb 2020 to 26 Sep 2022)
  • [FCA CF] Functions requiring qualifications (10 Feb 2020 to 26 Sep 2022)
  • CF30 Customer (14 Jun 2019 to 8 Dec 2019)
• Stephen James Chambers

  IRN SJC00075

  • [FCA CF] Manager of certification employee (12 Aug 2020 to 7 Apr 2021)
• Stephen John Ayres

  IRN SJA01069

  • [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 (12 Jun 2019 to 8 Dec 2019)
• Stephen John Baldwin

  IRN SJB01358

  • [FCA CF] Client dealing (31 Jan 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (31 Jan 2020 to 7 Apr 2021)
  • CF30 Customer (10 Jun 2019 to 8 Dec 2019)

No changes recorded yet.