N. M. ROTHSCHILD & SONS LIMITED

• Principal Place of Business

  New Court

  St Swithin's Lane

  London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +4402072805000

  Web

  https://www.rothschildandco.com

• Complaints Contact

  New Court

  St Swithin's Lane

  London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +4402072805000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Advice to retail clients is limited to corporate finance business only
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• . NM Rothschild & Sons Ltd

  IRN XXN01095

  • CF4 Partner (AR) (13 Sep 2018 to 11 Mar 2021)
• AMIT HEMANT THAKKAR

  IRN AHT01055

  • [FCA CF] Client dealing (31 Dec 2020 to 5 Jul 2021)
  • CF30 Customer (22 May 2019 to 8 Dec 2019)
• ANDREW STEPHEN LANDON Green

  IRN ASG01035

  • CF21 Investment Adviser (1 Dec 2001 to 16 Jan 2004)
• ANNE-SOPHIE TANKEU NJAPOUM

  IRN ATN01015

  • CF30 Customer (4 Feb 2014 to 16 Dec 2014)
• ASHA NAGARAJAN

  IRN AXN00053

  • [FCA CF] Client dealing (since 22 Jan 2024)
• Aadeesh Aggarwal

  IRN AXA01258

  • [FCA CF] Manager of certification employee (since 16 May 2022)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (27 Dec 2007 to 6 Mar 2016)
• Aalok Shah

  IRN AXS02527

  • CF30 Customer (8 Jul 2008 to 31 Jul 2009)
• Aaron Charles Kent

  IRN ACK01047

  • CF30 Customer (16 Jan 2012 to 15 Nov 2013)
• Abdelhakim El Sayed

  IRN AXE17766

  • [FCA CF] Client dealing (31 Dec 2020 to 30 Mar 2022)
  • CF30 Customer (26 Jul 2019 to 8 Dec 2019)
• Abhishek Wahi

  IRN AXW01758

  • CF30 Customer (1 Dec 2008 to 29 Oct 2015)

• Rothschild & Co Europe Partnership (no longer appointed)

  FRN 801234 · Appointed 9 Feb 2018 · Until 25 Mar 2021

• Lanebridge Investment Management Limited (no longer appointed)

  FRN 550909 · Appointed 13 May 2011 · Until 12 Jun 2024

No changes recorded yet.