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 Richard Gaskell

  IRN JRG01090

  • CF30 Customer (1 Nov 2007 to 16 Sep 2009)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• James Richard Pelly

  IRN JRP01192

  • CF30 Customer (4 May 2011 to 17 Jun 2011)
• James Richardson

  IRN JXR00998

  • [FCA CF] Client dealing (since 28 Oct 2025)
• James Robert Lever

  IRN JRL01092

  • [FCA CF] Manager of certification employee (since 25 Jul 2022)
  • [FCA CF] Client dealing (since 25 Jul 2022)
• James Simon Vaux

  IRN JSV01015

  • CF30 Customer (1 Nov 2007 to 1 Oct 2010)
  • CF1 Director (1 Dec 2001 to 13 Dec 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Sutch

  IRN JFS01104

  • CF30 Customer (12 Oct 2011 to 6 Mar 2016)
• James Thomas Shields

  IRN JTS01068

  • CF30 Customer (4 Apr 2008 to 4 Jan 2009)
• James Timothy Wyatt Carter

  IRN JTC01059

  • CF30 Customer (16 Apr 2010 to 16 Jul 2010)
• James Victor Aylward Potter

  IRN JVP01016

  • CF30 Customer (1 Nov 2007 to 31 Mar 2014)
  • CF23 Corporate Finance Adviser (20 Sep 2002 to 31 Oct 2007)
• James Walter Hilton

  IRN JWH01060

  • CF30 Customer (14 Oct 2016 to 29 Sep 2017)

• 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.