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.

• Tracey Marie Reed

  IRN TMR01038

  • [FCA CF] Functions requiring qualifications (30 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (30 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (6 Jun 2019 to 8 Dec 2019)
• Trevor James Henderson

  IRN TJH00030

  • [FCA CF] Client dealing (27 Apr 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (27 Apr 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Umar Tahir Mirza

  IRN UXM00319

  • [FCA CF] Functions requiring qualifications (9 Nov 2021 to 14 Oct 2022)
  • [FCA CF] Client dealing (9 Nov 2021 to 14 Oct 2022)
• Valerie Anne Kitchen

  IRN VAK01008

  • [FCA CF] Client dealing (24 Feb 2020 to 4 Nov 2024)
  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 4 Nov 2024)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Vanessa Louise Hubbard

  IRN VLK01004

  • 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 3 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2020)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Vernon Tomes

  IRN VXT00097

  • [FCA CF] Material risk taker (since 4 Jul 2024)
• Victoria Alexandra Louise Meredith

  IRN VAB00003

  • [FCA CF] Manager of certification employee (4 Nov 2021 to 1 Mar 2025)
  • [FCA CF] Client dealing (24 Aug 2021 to 4 Nov 2021)
  • [FCA CF] Functions requiring qualifications (24 Aug 2021 to 7 Jun 2023)
• Victoria Anne Willis

  IRN VAT00004

  • 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 7 Apr 2020)
  • [FCA CF] Client dealing (since 7 Apr 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Victoria Jane Passmore

  IRN VJP00018

  • [FCA CF] Client dealing (18 May 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (18 May 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Victoria Louise Sharkey

  IRN VXS00108

  • [FCA CF] Client dealing (16 Nov 2021 to 4 Jul 2023)
  • [FCA CF] Functions requiring qualifications (16 Nov 2021 to 4 Jul 2023)

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