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

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  • · 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

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  • · 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.

• Charles Alastair Spencer

  IRN CAS01215

  • CF30 Customer (14 Oct 2016 to 15 Jun 2018)
• Charles Bowden

  IRN CEB01048

  • CF21 Investment Adviser (1 Dec 2001 to 9 Nov 2005)
• Charles David Axe Fenwick

  IRN CXF10259

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (18 Jan 2019 to 8 Dec 2019)
• Charles Frederick Malton

  IRN CFM01071

  • [FCA CF] Client dealing (31 Dec 2020 to 7 May 2021)
  • CF30 Customer (5 Jul 2017 to 8 Dec 2019)
• Charles George Matthew Cassidy

  IRN CGC01062

  • CF30 Customer (17 Jan 2012 to 28 Feb 2013)
• Charles Hugo Rea

  IRN CXR00458

  • [FCA CF] Client dealing (3 Aug 2023 to 3 May 2024)
• Charles Jean Mercey

  IRN CJM01136

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF1 Director (1 Dec 2001 to 26 Mar 2008)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Charles John Albert Cox

  IRN CJC01299

  • CF30 Customer (21 Jul 2014 to 23 Apr 2015)
• Charles Marie Cyprien Nantois

  IRN CMN01045

  • CF30 Customer (14 Oct 2016 to 22 Sep 2017)
• Charles Marie Huyghues Despointes

  IRN CMH01168

  • CF30 Customer (14 Oct 2016 to 15 Jan 2018)

• 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.