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.

• Helen Birkett

  IRN HXB01383

  • CF30 Customer (4 Jul 2012 to 3 Oct 2013)
• Helen Elizabeth Pittaway

  IRN HER01005

  • CF21 Investment Adviser (1 Dec 2001 to 12 Nov 2004)
• Helena Katherine Somervail

  IRN HKS01021

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (31 Dec 2020 to 26 May 2022)
  • CF30 Customer (5 May 2011 to 6 Mar 2016)
• Helena Maria Svancar

  IRN HMS01051

  • CF21 Investment Adviser (17 May 2006 to 30 Jul 2007)
• Helier David Paveley Drage-Smith

  IRN HDP01013

  • [FCA CF] Manager of certification employee (31 Dec 2020 to 30 Dec 2021)
  • [FCA CF] Client dealing (31 Dec 2020 to 30 Dec 2021)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (25 Jul 2007 to 31 Oct 2007)
• Hengwang Lyu

  IRN HXL00156

  • [FCA CF] Client dealing (since 14 Oct 2024)
• Henning Block

  IRN HXB01401

  • CF30 Customer (12 Apr 2013 to 6 Mar 2016)
• Henrik Ljungberg

  IRN HXL01054

  • CF30 Customer (8 May 2008 to 31 Mar 2012)
• Henry Breillat Turner

  IRN HBT01003

  • CF30 Customer (21 Feb 2008 to 20 Aug 2010)
• Henry Howard Marvin Pease

  IRN HHP01003

  • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2004)

• 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.