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.

• Jian Wendy Yang

  IRN JXY00046

  • [FCA CF] Client dealing (1 Sep 2021 to 21 Apr 2023)
• Jin Chang

  IRN JXC01510

  • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
• Jing Zhao

  IRN JXZ01047

  • CF30 Customer (1 Nov 2007 to 14 Jul 2009)
  • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
• Jiri Jilek

  IRN JXJ01553

  • [FCA CF] Client dealing (31 Dec 2020 to 22 Nov 2023)
  • CF30 Customer (1 Oct 2016 to 8 Dec 2019)
• Joachim Baekkelund Reinboth

  IRN JBR01059

  • CF30 Customer (14 Oct 2016 to 28 Sep 2018)
• Joachim Dominik Wagner

  IRN JDW01212

  • [FCA CF] Client dealing (31 Dec 2020 to 14 Jul 2021)
  • CF30 Customer (17 Oct 2016 to 8 Dec 2019)
• Joakim Kjemperud

  IRN JXK01711

  • CF30 Customer (5 Apr 2012 to 28 Feb 2014)
• Joana Patricia Goncalves Cardoso

  IRN JPG01173

  • [FCA CF] Client dealing (since 18 Nov 2024)
• Joanna Clare Allen

  IRN JCA01061

  • CF23 Corporate Finance Adviser (15 Aug 2002 to 14 Jul 2006)
• Joanna Kopczynska

  IRN JXK01486

  • CF30 Customer (6 Nov 2007 to 13 Jul 2009)

• 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.