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.

• Dionysios Skrimizeas

  IRN DXS00884

  • [FCA CF] Client dealing (since 7 Aug 2023)
• Dipesh Mahtani

  IRN DXM02730

  • CF30 Customer (11 May 2015 to 6 Mar 2016)
• Dirk Pahlke

  IRN DXP01218

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Djurre Hoogeveen

  IRN DXH15201

  • CF30 Customer (21 May 2019 to 3 Jun 2019)
• Dominic Charles Hollamby

  IRN DCH01061

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (since 31 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Dominic Defery Barrett-Evans

  IRN DDB01009

  • CF30 Customer (1 Nov 2007 to 31 Mar 2011)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Dominic Edward Ian Epton

  IRN DEE01010

  • CF30 Customer (1 Nov 2007 to 31 Oct 2011)
  • CF23 Corporate Finance Adviser (14 Aug 2006 to 31 Oct 2007)
• Dominic Guy William Lawrenc Morris

  IRN DGM01091

  • CF21 Investment Adviser (1 Dec 2001 to 3 Dec 2004)
• Dominic Laurence Carden Wallis

  IRN DLW01047

  • CF23 Corporate Finance Adviser (1 Dec 2001 to 22 Sep 2007)
• Dominic Michael James Courtman

  IRN DMC01117

  • CF30 Customer (18 Jan 2008 to 6 Mar 2016)
  • CF21 Investment Adviser (17 Jun 2004 to 3 Nov 2006)

• 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.