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 Martin Lyons

  IRN JML01140

  • CF30 Customer (21 Oct 2008 to 4 Mar 2013)
• James Matthew Hammett Sinclair

  IRN JXS00071

  • [FCA CF] Client dealing (26 Aug 2022 to 22 Sep 2023)
• James Matthew Taylor

  IRN JXT00646

  • [FCA CF] Client dealing (1 Nov 2023 to 6 Jun 2025)
• James McCombe

  IRN JXM01046

  • [FCA CF] Client dealing (since 12 Apr 2022)
• James Michael Henderson

  IRN JMH01415

  • CF30 Customer (12 Jun 2017 to 8 Jun 2018)
• James Neilson Murray

  IRN JNM01035

  • CF30 Customer (1 Nov 2007 to 2 Jul 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Noel William Ford

  IRN JNF01026

  • CF30 Customer (8 Dec 2015 to 6 Mar 2016)
• James Philip Collier

  IRN JPC01133

  • CF30 Customer (1 Nov 2007 to 13 Jul 2012)
  • CF23 Corporate Finance Adviser (17 Aug 2002 to 31 Oct 2007)
• James Pierre Michael Parry-Crooke

  IRN JPP01115

  • CF30 Customer (12 Jun 2014 to 6 Mar 2016)
• James Prescott

  IRN JXP02054

  • CF30 Customer (19 May 2014 to 6 Mar 2016)

• 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.