Schroder Wealth Management (US) Limited

• Principal Place of Business

  1 London Wall Place

  London

  EC2Y 5AU

  UNITED KINGDOM

  Phone

  +442076586000

  Web

  https://www.schroders.com/en/us/wealth-management/

• Complaints Contact

  1 London Wall Place

  London

  EC2Y 5AU

  UNITED KINGDOM

  Phone

  +442076586000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Share, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Share, Unit, Warrant

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Share, Unit, Warrant

• Alec Merrett

  IRN AXM05017

  • [FCA CF] Material risk taker (30 Nov 2021 to 18 Jul 2025)
  • CF28 Systems and controls (25 Jul 2018 to 8 Dec 2019)
• Alper Erman

  IRN AXE00065

  • [FCA CF] Manager of certification employee (since 16 Aug 2023)
• Andrew Bernard James Chorlton

  IRN ABC01025

  • [FCA CF] Material risk taker (26 Sep 2022 to 27 Nov 2023)
• Andrew John Shirley Ross

  IRN AJR01200

  • CF1 Director (11 Sep 2017 to 2 Jan 2019)
• Andrew William Howard

  IRN AWH01042

  • [FCA CF] Material risk taker (22 Sep 2022 to 2 Aug 2023)
• Antony Waring

  IRN AXW00707

  • [FCA CF] Material risk taker (since 10 Jan 2023)
  • [FCA CF] Significant management (since 10 Jan 2023)
• Benedict Joel David Noah

  IRN BXN01041

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (5 Nov 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Sep 2017 to 8 Dec 2019)
• Carolyn Sims

  IRN CXK01052

  • SMF3 Executive Director (9 Dec 2019 to 29 May 2020)
  • CF1 Director (11 Sep 2017 to 8 Dec 2019)
• Caspar Alexander Rock

  IRN CAR01042

  • [FCA CF] Material risk taker (since 13 Jun 2024)
• Charles Christopher Prideaux

  IRN CCP01013

  • [FCA CF] Material risk taker (26 Sep 2022 to 27 Nov 2023)

No changes recorded yet.