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.

• Anna Rawson

  IRN AXC00249

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 20 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 20 Apr 2020)
  • CF30 Customer (11 Jun 2019 to 8 Dec 2019)
• Anna Sharpe

  IRN AVS01035

  • 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 11 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2020)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Annabel Lumsden

  IRN AJH01677

  • CF30 Customer (4 Jun 2019 to 19 Sep 2019)
• Anne Elizabeth Wellings

  IRN AEW01046

  • [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 (7 Jun 2019 to 8 Dec 2019)
• Anthony Akrasi

  IRN AJA01176

  • [FCA CF] Functions requiring qualifications (20 May 2020 to 7 Mar 2021)
  • [FCA CF] Client dealing (20 May 2020 to 7 Mar 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Anthony John Shields

  IRN AJS01378

  • [FCA CF] Client dealing (3 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Functions requiring qualifications (3 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Anthony Richard Campbell

  IRN ARC00031

  • [FCA CF] Client dealing (27 Apr 2020 to 21 Mar 2021)
  • [FCA CF] Functions requiring qualifications (27 Apr 2020 to 21 Mar 2021)
  • CF30 Customer (5 Jul 2019 to 8 Dec 2019)
• Anthony Richard McKeown

  IRN ARM00003

  • [FCA CF] Functions requiring qualifications (24 Feb 2022 to 31 Dec 2023)
  • [FCA CF] Manager of certification employee (24 Feb 2022 to 31 Dec 2023)
• Antonio Lorenzo

  IRN AXL01460

  • [FCA CF] Material risk taker (28 Jul 2023 to 9 Oct 2025)
• Arnold Mensah Bonsu

  IRN AXB69028

  • [FCA CF] Functions requiring qualifications (26 Aug 2021 to 15 Jul 2022)
  • [FCA CF] Client dealing (26 Aug 2021 to 15 Jul 2022)

No changes recorded yet.