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

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

• Charlotte Alexandra Swing

  IRN CAS01160

  • [FCA CF] Manager of certification employee (29 Jun 2023 to 9 Jul 2025)
• Christopher Patel

  IRN CXP01402

  • [FCA CF] Manager of certification employee (since 23 Jun 2025)
• David Geraint Alfred Mortimer

  IRN DGM01121

  • CF28 Systems and controls (11 Sep 2017 to 26 Mar 2018)
• Dominic Peter Corti Emmerson

  IRN DPE01009

  • SMF9 Chair of the Governing Body (since 15 May 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 15 May 2023)
  • CF3 Chief Executive (13 Nov 2019 to 8 Dec 2019)
  • CF1 Director (11 Sep 2017 to 13 Nov 2019)
• Elizabeth Saint

  IRN EXS23124

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

  IRN EXK00097

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 11 May 2022)
  • [FCA CF] Client dealing (since 11 May 2022)
• Emma Elizabeth Holden

  IRN EEH01026

  • [FCA CF] Material risk taker (1 Oct 2020 to 1 Aug 2023)
• Emmanuelle Claudine Dominique Mathey

  IRN ECM01034

  • [FCA CF] Material risk taker (9 Dec 2019 to 19 Oct 2021)
• Gemma Jones

  IRN GXJ91796

  • [FCA CF] Significant management (since 18 Mar 2023)
  • [FCA CF] Material risk taker (since 18 Mar 2022)
• Georg Wunderlin

  IRN GXW14420

  • [FCA CF] Material risk taker (26 Sep 2022 to 2 Aug 2023)

No changes recorded yet.