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

• Michael Geoffrey Greenwood

  IRN MGG01066

  • 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] Manager of certification employee (since 22 Sep 2025)
  • [FCA CF] Material risk taker (since 17 Jun 2024)
  • [FCA CF] Significant management (since 4 Jan 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Sep 2017 to 8 Dec 2019)
• Natasha Raichura

  IRN NXR00200

  • [FCA CF] Significant management (25 May 2022 to 11 Oct 2023)
• Nigel John Drury

  IRN NJD01134

  • [FCA CF] Manager of certification employee (22 Sep 2022 to 2 Aug 2023)
  • [FCA CF] Material risk taker (1 Oct 2020 to 2 Aug 2023)
• Oliver Gregson

  IRN OCG01000

  • [FCA CF] Significant management (since 25 Nov 2025)
  • [FCA CF] Manager of certification employee (since 22 Sep 2025)
• Peter Harrison

  IRN PXH01235

  • [FCA CF] Material risk taker (26 Sep 2022 to 12 Jun 2024)
  • [FCA CF] Manager of certification employee (1 Oct 2020 to 31 Dec 2024)
• Peter Lindop Hall

  IRN PLH01032

  • [FCA CF] Manager of certification employee (1 Oct 2020 to 26 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 2 Aug 2023)
• Philip Robert Middleton

  IRN PRM01182

  • [FCA CF] Material risk taker (1 Feb 2023 to 27 Nov 2023)
• Richard John Keers

  IRN RJK01138

  • [FCA CF] Material risk taker (26 Sep 2022 to 2 Oct 2023)
  • [FCA CF] Manager of certification employee (1 Oct 2020 to 2 Oct 2023)
• Richard Oldfield

  IRN RXO00127

  • [FCA CF] Manager of certification employee (since 13 Jun 2024)
  • [FCA CF] Material risk taker (19 Dec 2023 to 13 Jul 2025)
  • [FCA CF] Manager of certification employee (26 Oct 2023 to 11 Dec 2023)
• Robert Hyde

  IRN RXH00522

  • [FCA CF] Material risk taker (since 17 May 2022)

No changes recorded yet.