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.

• Gaurav Sarpal

  IRN GXS00624

  • [FCA CF] Client dealing (since 31 Oct 2023)
• Gaurav Sohan Varma

  IRN GXV00003

  • [FCA CF] Client dealing (27 Jan 2025 to 6 Feb 2026)
• Gavin Roden Powlett Orde

  IRN GRO01012

  • [FCA CF] Client dealing (since 25 Jul 2022)
  • [FCA CF] Manager of certification employee (since 25 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 28 Feb 2014)
  • CF23 Corporate Finance Adviser (19 Feb 2007 to 31 Oct 2007)
• Genevieve Leclercq

  IRN GXL00284

  • [FCA CF] Client dealing (8 Jan 2024 to 29 May 2024)
• Geoffrey Paul Spice

  IRN GPS01043

  • CF1 Director (1 Dec 2001 to 10 Sep 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 10 Sep 2004)
• Georg Alexander Temucin Graf von Wedel-Goedens

  IRN GXG00088

  • [FCA CF] Client dealing (31 Dec 2020 to 16 Jul 2021)
• George Alexander Hodges

  IRN GXH01392

  • CF21 Investment Adviser (27 Aug 2004 to 1 Aug 2005)
• George An-Shih Wong

  IRN GAW01034

  • CF2 Non Executive Director (1 Dec 2001 to 13 Dec 2004)
• George Bernard Louis Keelan

  IRN GBK01014

  • CF30 Customer (8 May 2014 to 15 Jan 2016)
• George Chatterton

  IRN GXC00500

  • [FCA CF] Client dealing (7 Aug 2023 to 10 Nov 2025)

• 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.