Leshek J. Farthing

SCHRODER WEALTH MANAGEMENT (US) LIMITED

London, EC2Y 5AU

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CRD#: 7195491

Professional summary

Leshek Julian Farthing, CFP® is a registered financial advisor currently at SCHRODER WEALTH MANAGEMENT (US) LIMITED .

Leshek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Leshek has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leshek Julian Farthing's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

September 30, 2024 - Present

SCHRODER WEALTH MANAGEMENT (US) LIMITED

Office #1: 1 London Wall Place, London, EC2Y 5AU

RIA

CRD#: 289151

London,

Past

September 10, 2020 - November 10, 2022

KINLOCH CAPITAL, LLC

RIA

CRD#: 300735

GLEN ALLEN, VA

Past

January 28, 2020 - September 14, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

GLEN ALLEN, VA

Past

November 8, 2019 - September 14, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

GLEN ALLEN, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHRODER WEALTH MANAGEMENT (US) LIMITED

CRD#: 289151 / SEC#: 801-110948

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/30/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/14/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/8/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/31/2019

Securities Industry Essentials Examination

Current Firm

SCHRODER WEALTH MANAGEMENT (US) LIMITED

CRD#: 289151 / SEC#: 801-110948

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

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Contact information

Main Address

1 London Wall Place, London, EC2Y 5AU

Mailing Address

Phone number

00 44 (0)20 7658 6000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISER BROCHURE - ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	226
AUM (Assets Under Management)	$ 922,408,209

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Leshek J. Farthing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leshek Julian Farthing's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHRODER WEALTH MANAGEMENT (US) LIMITED

KINLOCH CAPITAL, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

SCHRODER WEALTH MANAGEMENT (US) LIMITED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2019

Series 7TO

Date: 11/8/2019

SIE

Date: 8/31/2019

Current Firm

SCHRODER WEALTH MANAGEMENT (US) LIMITED

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCHRODER WEALTH MANAGEMENT (US) LIMITED

TRUST BUT VERIFY

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