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

• Karine Szenberg

  IRN KXS00294

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

  IRN LXF00300

  • 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 22 Sep 2025)
  • [FCA CF] Client dealing (since 22 Sep 2025)
• Lieven Debruyne

  IRN LXD00222

  • [FCA CF] Material risk taker (26 Sep 2022 to 1 Feb 2023)
  • [FCA CF] Manager of certification employee (26 Sep 2022 to 1 Feb 2023)
• Louise Hosking

  IRN LXH00065

  • [FCA CF] Material risk taker (26 Sep 2022 to 1 Aug 2023)
• Louise Williams

  IRN LXF00224

  • [FCA CF] Manager of certification employee (since 11 Feb 2026)
• Mark Vincent Baker

  IRN MXB02347

  • [FCA CF] Manager of certification employee (1 Feb 2023 to 28 Mar 2025)
  • [FCA CF] Material risk taker (30 Nov 2021 to 28 Mar 2025)
  • CF29 Significant management (28 Nov 2017 to 8 Dec 2019)
• Martin John Heale

  IRN MJH01236

  • 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
  • 14. Managing investments
  • [FCA CF] Material risk taker (since 22 Mar 2022)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 18 Oct 2021)
  • CF30 Customer (11 Sep 2017 to 8 Dec 2019)
  • CF29 Significant management (11 Sep 2017 to 8 Dec 2019)
• Mary-Anne Daly

  IRN MXD01199

  • SMF9 Chair of the Governing Body (15 Mar 2021 to 15 May 2023)
  • SMF1 Chief Executive (8 Jan 2020 to 8 Jan 2020)
  • SMF3 Executive Director (8 Jan 2020 to 15 May 2023)
  • CF3 Chief Executive (11 Sep 2017 to 8 Dec 2019)
• Matthew Ayres

  IRN MXA00290

  • [FCA CF] Manager of certification employee (since 25 May 2022)
  • [FCA CF] Material risk taker (22 Feb 2022 to 12 Jun 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 4 Dec 2023)
• Meagen Burnett

  IRN MXB24502

  • [FCA CF] Manager of certification employee (since 13 Jun 2024)
  • [FCA CF] Manager of certification employee (21 Jan 2023 to 4 Dec 2023)

No changes recorded yet.