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

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  • · 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.

• Claire Sophie Mesmain

  IRN CSM01034

  • CF21 Investment Adviser (1 Dec 2001 to 10 Jul 2002)
• Clare Cork

  IRN CXC01189

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2004)
• Clare Joanna Elizabeth Ferguson

  IRN CJF01054

  • CF21 Investment Adviser (27 Dec 2002 to 27 Jul 2004)
• Claude-Stephanie Ngningha

  IRN CSN01016

  • CF30 Customer (23 Mar 2010 to 30 Jul 2014)
• Claude-Vincent Perez

  IRN CXP01446

  • CF30 Customer (25 Jul 2008 to 4 Jun 2009)
• Claudia Daniela Ziegler

  IRN CDZ01001

  • CF21 Investment Adviser (1 Dec 2001 to 6 Aug 2004)
• Claudia Patricia Pendred

  IRN CPP01021

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 14 Sep 2007)
• Claudine Wott

  IRN CXS01922

  • CF30 Customer (16 Aug 2019 to 8 Dec 2019)
• Claudio Veritiero

  IRN CXV01022

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Jul 2004)
• Clive Anthony Whitmore

  IRN CAW01089

  • CF1 Director (1 Dec 2001 to 31 Dec 2010)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)

• 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.