Sterling ISA Managers Limited

• Principal Place of Business

  Lloyds Banking Group, 33 Old Broad Street

  London

  City Of London

  EC2N 1HZ

  UNITED KINGDOM

  Phone

  +4403300242345

  Web

  https://platform.scottishwidows.co.uk

• Complaints Contact

  PO Box 21465

  Edinburgh

  EH3 1HD

  UNITED KINGDOM

  Phone

  +4403300242345

• 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 Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Insurance Admin

  For Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments)

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  • · The firm to be limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) that it operates
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• Clare Beale

  IRN CXB33165

  • SMF4 Chief Risk (1 Sep 2024 to 13 Dec 2024)
• Colin David Taylor

  IRN CDT01046

  • CF2 Non Executive Director (20 Sep 2012 to 31 Mar 2018)
• Craig John Wood

  IRN CJW01298

  • SMF3 Executive Director (3 Mar 2022 to 7 Dec 2022)
• Daniel John Pender

  IRN DJP01317

  • CF1 Director (16 Jul 2012 to 2 Jul 2013)
  • CF28 Systems and controls (16 May 2011 to 25 Jul 2012)
• Darren West

  IRN DXW01832

  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
  • CF29 Significant management (3 Jul 2012 to 8 Dec 2019)
• David Andrew Lowe

  IRN DXL33475

  • SMF7 Group Entity Senior Manager (20 May 2020 to 31 Aug 2022)
• David John Etherington

  IRN DJE01069

  • CF1 Director (3 Sep 2003 to 31 Aug 2012)
• David Paul Wainwright

  IRN DPW01048

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
• David Perrott Sims

  IRN DPS01058

  • Responsible for Insurance Mediation (1 Sep 2011 to 4 Jun 2012)
  • CF1 Director (1 Sep 2011 to 4 Jun 2012)
  • CF3 Chief Executive (24 Jun 2004 to 1 Oct 2009)
  • CF8 Apportionment and Oversight (24 Jun 2004 to 31 Oct 2007)
• David Ross Carrie

  IRN DRC01071

  • CF1 Director (29 Jul 2004 to 1 Jan 2006)

No changes recorded yet.