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

• Rory Lawrence Bateman

  IRN RXB01279

  • [FCA CF] Manager of certification employee (26 Sep 2022 to 27 Nov 2023)
  • [FCA CF] Material risk taker (26 Sep 2022 to 27 Nov 2023)
• Rupert Norman Rolfe Nottidge

  IRN RNN00004

  • [FCA CF] Material risk taker (22 Sep 2022 to 6 Aug 2023)
  • [FCA CF] Manager of certification employee (1 Oct 2020 to 6 Aug 2023)
• Ryan Nehru

  IRN RXN00229

  • [FCA CF] Material risk taker (22 Jan 2024 to 27 May 2024)
  • [FCA CF] Significant management (22 Jan 2024 to 27 May 2024)
• Susan Soh

  IRN SXS00607

  • [FCA CF] Material risk taker (22 Sep 2022 to 27 Nov 2023)
• Sushma Subhash Rose

  IRN SST01033

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

  IRN TXM91798

  • SMF3 Executive Director (since 7 Nov 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Sep 2022)
• Toby Glover

  IRN TJG01099

  • SMF1 Chief Executive (since 15 May 2023)
• Wilaf Moore

  IRN WMM01012

  • [FCA CF] Material risk taker (26 Sep 2022 to 9 Jul 2025)
  • [FCA CF] Manager of certification employee (17 May 2022 to 9 Jul 2025)
  • [FCA CF] Significant management (13 Mar 2020 to 3 Jan 2024)

No changes recorded yet.