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.

• James Ashton

  IRN JXA00306

  • [FCA CF] Client dealing (18 Aug 2021 to 20 Sep 2023)
• James Christopher McEwen

  IRN JCM01243

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (14 Oct 2016 to 8 Dec 2019)
• James Cork

  IRN JXC01801

  • CF21 Investment Adviser (14 Aug 2003 to 2 Jan 2004)
• James Daniel Mahilrajan Kanagasooriam

  IRN JDK01065

  • CF30 Customer (16 Oct 2013 to 11 Jul 2014)
• James David Athole Laing

  IRN JDL01034

  • [FCA CF] Client dealing (31 Dec 2020 to 11 Jul 2022)
  • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
• James David Cameron Douglas-Hamilton

  IRN JDD01035

  • [FCA CF] Client dealing (31 Dec 2020 to 27 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• James David Eyre

  IRN JDE01037

  • CF21 Investment Adviser (14 Jan 2005 to 11 Aug 2006)
• James David Webb

  IRN JDW01165

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (25 Feb 2009 to 6 Mar 2016)
• James Dinyin Kuo

  IRN JXK17181

  • [FCA CF] Client dealing (31 Dec 2020 to 8 Jun 2021)
  • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
• James Donald Smith

  IRN JDS01125

  • CF30 Customer (18 Dec 2008 to 28 Feb 2014)

• 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.