Wilaf Moore

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Material risk taker (since 13 Jun 2024)
    • [FCA CF] Manager of certification employee (since 21 Feb 2018)
    • [FCA CF] Client dealing (since 21 Feb 2018)
    • [FCA CF] Functions requiring qualifications (since 21 Feb 2018)
    • [FCA CF] Material risk taker (21 Feb 2018 to 8 Dec 2022)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Schroder Wealth Management (US) Limited (no longer approved here)

    FRN 781869

    • [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)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • [FCA CF] Manager of certification employee (13 Mar 2020 to 2 Feb 2021)
  • Schroder Unit Trusts Limited (no longer approved here)

    FRN 197288

    • [FCA CF] Manager of certification employee (13 Mar 2020 to 3 Mar 2021)

Recent activity

Updates to this individual's record on the FCA register.

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