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

• Edward Mark Choularton

  IRN EXC00087

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
• Erica Susan Arnold

  IRN ESA01011

  • CF2 Non Executive Director (4 Feb 2016 to 14 Aug 2019)
• Gareth David Jenkins

  IRN GDJ01032

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Apr 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2020)
• Gary Paul John Shaughnessy

  IRN GPS01052

  • CF1 Director (4 Jun 2012 to 1 Jan 2016)
  • CF3 Chief Executive (4 Jun 2012 to 1 Jan 2016)
  • Responsible for Insurance Mediation (4 Jun 2012 to 1 Jan 2016)
• Gayle Elaine Schumacher

  IRN GES01031

  • Director of firm who is not a certification employee or a SMF manager (since 1 Sep 2024)
• Geoffrey Malcolm Rothwell

  IRN GXR01148

  • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Feb 2006)
• Geoffrey Martin Riddell

  IRN GMR01028

  • CF2 Non Executive Director (11 Aug 2009 to 2 Jul 2010)
• George Edward Arnold

  IRN GEA01007

  • CF10 Compliance Oversight (1 Dec 2001 to 24 Sep 2003)
• Graeme Robert Bold

  IRN GXB42380

  • [FCA CF] Material risk taker (since 2 Sep 2024)
• Graham Stirling Boffey

  IRN GSB01058

  • CF29 Significant management (7 Mar 2018 to 22 Mar 2019)

No changes recorded yet.