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

  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

• Gregg Dalley

  IRN GXD01211

  • [FCA CF] Material risk taker (22 Sep 2022 to 27 Nov 2023)
• Hayley Kempshall

  IRN HXK80645

  • [FCA CF] Manager of certification employee (17 Jan 2023 to 13 Nov 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 17 Jan 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 18 Oct 2021)
• Helen Louise Fitzgerald

  IRN HLF01015

  • SMF3 Executive Director (26 Oct 2020 to 1 Sep 2025)
• Howard Bailey Trust

  IRN HBT01001

  • [FCA CF] Material risk taker (1 Oct 2020 to 1 Aug 2023)
• James Ovenden

  IRN JXO00093

  • [FCA CF] Manager of certification employee (since 17 May 2022)
  • [FCA CF] Material risk taker (since 24 Aug 2021)
• James Rainbow

  IRN JXR02352

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

  IRN JCS01099

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • [FCA CF] Material risk taker (since 22 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 18 Oct 2021)
  • CF29 Significant management (11 Sep 2017 to 8 Dec 2019)
  • CF30 Customer (11 Sep 2017 to 8 Dec 2019)
• Jeremy Turnbull

  IRN JWT01025

  • CF1 Director (11 Sep 2017 to 9 Sep 2019)
  • CF10 Compliance Oversight (11 Sep 2017 to 9 Sep 2019)
  • CF28 Systems and controls (11 Sep 2017 to 9 Sep 2019)
• Johanna Kate Kyrklund

  IRN JKK01003

  • [FCA CF] Manager of certification employee (26 Sep 2022 to 28 Nov 2023)
  • [FCA CF] Material risk taker (26 Sep 2022 to 28 Nov 2023)
• Julian Ingleby

  IRN JXI91795

  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Jun 2021)

No changes recorded yet.