Wikilix
Licence record

SEC licence recorded for Schroder

Holder
Schroder
Jurisdiction
United States
Licence type
Investment Advisory License

This is Wikilix's record of a licence issued by Securities and Exchange Commission. It sets out what the register says, what we checked, and what the authority's own rules protect.

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Licence intelligence

RecordModified Jul 27, 2026

Licence Verification Record

Securities and Exchange Commission No number on the register

Recorded from the firm's own disclosure. Not yet checked against the register.

Issuing authority
Securities and Exchange Commission
Holder
Schroder
Jurisdiction
United States
Licence type
Investment Advisory License

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.

wikilix.com/licenses/securities-and-exchange-commission/schroder/licence-3704Fields on file 1 / 11

Open SchroderAbout SEC
Our check

What we checked

Nobody has adjudicated this licence yet. It is recorded here as claimed, not as confirmed.

Wikilix check
Not checked
Authority strength
Tier 1
Jurisdiction
United States
Last checked
Never

Nobody at Wikilix has looked this licence up on the official register yet. Everything above comes from the record as supplied; treat it as a claim until you have checked it yourself.

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.
The register

What the authority publishes

Printed as the register prints it. A field that is missing here is one nobody has recorded, not one the register leaves blank.

Licence type (Wikilix classification)
Investment Advisory License
The authority

About SEC

Securities and Exchange Commission is the authority that issued this licence, and the jurisdiction it applies in is United States.

Full name
Securities and Exchange Commission
Jurisdiction
United States
Strength
Tier 1 (securities)The strictest regimes: high capital requirements, segregated client money and a compensation scheme.
Established
1936
Oversight
A government or statutory body
Firms we track under it
0 firms
Licences it issues
Broker-dealer; investment adviser
Typical cost of a licence
Varies; FINRA and SEC registration fees
Public register
Searchable by the public
Transparency
Medium
Protection

What this licence protects

SEC's own rules for the firms it authorises.

  • Compensation schemeSIPC insures up to $500,000 per customer (including $250,000 cash)
  • Complaints routeSEC Tips/Complaints/Referral
  • Maximum leverage1:50
This describes the authority's regime, not how Schroder applies it.
The holder

Who holds this licence

The licence above is recorded against Schroder. A licence is issued to a legal company, so the companies below are what you would search a corporate register for.

Broker
Schroder
Based in
United Kingdom
Wikilix score
56.2the firm’s overall score, not a rating of this licence

Recorded companies

None of these matches the name the register printed, so we do not say which one holds this licence.

  • SCHRODERS PLCUnited Kingdom · Reg. 03909886 · Sep 11, 2018
Provenance

Where this record came from

Every date below has already happened. We do not publish a promised next-update date, because we do not schedule per-licence re-checks.

Last checked by Wikilix
Never — nobody has looked this entry up yet
Record last edited
When this entry was last changed in our database, which may be a correction rather than a change at the register.
Wikilix records what an authority published. It does not issue or endorse authorisations.
Also on record

Other licences Schroder holds

2 other licences are on record for Schroder.

Frequently Asked Questions

Questions about this licence

Answered from this register entry and the authority’s own record.

Most Popular Questions
Schroder's regulatory licenses prohibit clients from certain countries including the USA, North Korea, Iran, and other sanctioned nations. Its geographical coverage mainly includes the UK, Japan, and some global clients with regional limitations.
Yes, Schroder offers customer support primarily in English with live chat available during business hours. Clients can also contact support via phone at +44 (0)20 7658 6000 or email at enquiry_cn@schroders.com.
Schroder offers a maximum leverage of 1:1 for trading. This means clients can trade without leverage, which may reflect the broker's regulatory compliance and risk management policies.
Schroder supports various funding methods including bank transfers, debit cards, e-wallets like PayPal and Neteller, cryptocurrency, and managed fund settlement services. Processing times vary from instant for e-wallets and debit cards to several business days for bank transfers, with fees depending on the method used.
Schroder is a regulated broker licensed by authorities including the UK's Financial Conduct Authority (FCA), Japan's Financial Services Agency (FSA), and the US Securities and Exchange Commission (SEC). These regulators ensure Schroder complies with onshore regulations and investor protection standards in their respective jurisdictions.
Schroder holds this SEC licence. A licence on record means the authority published an entry; it is not an endorsement.
Nobody at Wikilix has looked this entry up on the SEC register yet, so treat it as claimed rather than confirmed. That is a gap in our coverage, not a finding against the licence.
Wikilix rates SEC tier 1 — the strictest band, with high capital requirements, segregated client money and a compensation scheme.
Schroder has 2 other licences on record with Wikilix, across 2 jurisdictions. They are listed further down this page.
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