Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Schroder Wealth Management (US) Limited
FRN 781869
- 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] 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] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (11 Sep 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.