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.

• Alexander Mawson Greenwood

  IRN AXG00569

  • [FCA CF] Client dealing (25 Apr 2022 to 25 Jul 2023)
• Alexander Michael Sorkin

  IRN AMS01128

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (9 Jan 2002 to 31 Oct 2007)
• Alexander Micheal Balikhin

  IRN AMB01325

  • CF30 Customer (12 May 2010 to 14 Feb 2014)
• Alexander Midgen

  IRN AXM01469

  • [FCA CF] Manager of certification employee (since 31 Dec 2020)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Alexander Penny

  IRN AXP00864

  • [FCA CF] Client dealing (since 14 Sep 2023)
• Alexander Philip George Forbes-Leith

  IRN AXF00476

  • [FCA CF] Client dealing (since 1 Nov 2023)
• Alexander Robert Fellowes

  IRN ARF01067

  • CF23 Corporate Finance Adviser (10 Nov 2006 to 23 Mar 2007)
• Alexander Salomon

  IRN AXS01314

  • [FCA CF] Client dealing (18 Oct 2022 to 19 Jul 2023)
• Alexander Smithies

  IRN AXS00487

  • [FCA CF] Client dealing (since 31 Dec 2020)
• Alexander Timothy Flynn

  IRN ATF01020

  • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
  • CF21 Investment Adviser (4 Oct 2007 to 31 Oct 2007)

• 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.