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.

• Steven David Osborne

  IRN SDO00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
• Steven Dormer

  IRN SXD00425

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 18 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 18 Mar 2026)
  • [FCA CF] Client dealing (31 Aug 2021 to 8 Sep 2022)
  • [FCA CF] Functions requiring qualifications (31 Aug 2021 to 8 Sep 2022)
• Steven Ian Renfrew

  IRN SIR01007

  • [FCA CF] Manager of certification employee (30 Jun 2020 to 31 Dec 2024)
• Steven Stock

  IRN SXS00436

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 11 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2020)
• Stuart Greig Wright

  IRN SGW01102

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 8 Jun 2020)
  • [FCA CF] Functions requiring qualifications (since 8 Jun 2020)
  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Stuart Pook

  IRN SXP00093

  • [FCA CF] Client dealing (24 Apr 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (24 Apr 2020 to 7 Apr 2021)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Stuart Ross Thompson

  IRN SRT01060

  • 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] Functions requiring qualifications (since 29 May 2020)
  • [FCA CF] Client dealing (since 29 May 2020)
  • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
• Stuart Ryan du Preez

  IRN SXD00669

  • [FCA CF] Functions requiring qualifications (21 Mar 2023 to 6 Nov 2025)
  • [FCA CF] Client dealing (21 Mar 2023 to 6 Nov 2025)
• Suzanne Bailey

  IRN SXH00091

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 12 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2022)
• Suzanne Ward

  IRN SXW01440

  • [FCA CF] Client dealing (1 May 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (1 May 2020 to 7 Apr 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)

No changes recorded yet.