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.

• Charles Montgomerie

  IRN CXM01304

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Charles Nicholas Paton Johnston

  IRN CNJ01011

  • CF23 Corporate Finance Adviser (29 Aug 2002 to 10 Jan 2007)
• Charles Oscar Bogard

  IRN COB01013

  • CF30 Customer (10 Dec 2016 to 29 Jun 2018)
• Charles Robert Keay

  IRN CRK01002

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF1 Director (1 Dec 2001 to 31 Mar 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Charles Ronald Llewelyn Guthrie

  IRN CRG01039

  • CF2 Non Executive Director (13 Aug 2002 to 26 May 2010)
• Charles Tavengwa

  IRN CXT00463

  • [FCA CF] Client dealing (since 4 Mar 2024)
• Charles Toby Fitzherbert White

  IRN CTW01037

  • CF30 Customer (23 May 2011 to 14 Nov 2011)
• Charles Tongue

  IRN CJT01154

  • CF30 Customer (17 May 2010 to 6 Mar 2016)
• Charles Wallace Delo

  IRN CWD01041

  • CF30 Customer (2 Nov 2010 to 6 Mar 2016)
• Charles William Oscar Lynch

  IRN CXL11141

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (8 Aug 2019 to 8 Dec 2019)

• 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.